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PAPERBACK list:$73.25 Web:$65.92 add to cart Rights & Permissions Free PDF Access Free Resources Sign in to download PDF book and chapters PDF EXECUTIVE SUMMARY Display this book on your site! Related Titles An Assessment of the SBIR Program An Assessment of the Small Business Innovation Research Program at the Department of Defense Other Related Titles An Assessment of the SBIR Program at the National Science Foundation (2007) Web Search Builder Use this book's key terms to search within this book, across our collection, or across the Web. Skim This Chapter Skim this chapter and use this chapter's key terms to search within this book. Reference Finder Paste in your own text to find books that relate to your topic. Page 189   E-mail  Facebook  Digg  Stumble  Twitter More The following HTML text is provided to enhance online readability. Many aspects of typography translate only awkwardly to HTML. Please use the page image as the authoritative form to ensure accuracy. Appendixes Page 189 Front Matter (R1-R20) Summary (1-11) 1 Introduction (12-20) 2 Findings and Recommendations (21-40) 3 Scope and Methodology (41-46) 4 Overview of the NSF SBIR Program (47-82) 5 Commercialization (83-119) 6 Support to Agency Mission and to Small Business (120-124) 7 Contributions to Knowledge (125-135) 8 Program Management (136-188) Appendix A: NSF SBIR Program Data (189-204) Appendix B: NRC Phase II Survey and NRC Firm Survey (205-230) Appendix C: NRC Phase I Survey (231-239) Appendix D: Selected Case Studies (240-325) Appendix E: Structured Interview Guide Used in Coryell Study of Phase IIB Grants (326-334) Appendix F: Required NSF Postgrant Annual Commercialization Report (Deemed Ineffective by the NSF) (335-336) Appendix G: Bibliography (337-346)

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An Assessment of the SBIR Program at the National Science Foundation Appendixes

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An Assessment of the SBIR Program at the National Science Foundation Appendix A NSF SBIR Program Data1 TABLE App-A-1 Phase I Grants by Year, 1992–2005 Fiscal Year Number of Grants Average Grant ($) Total Grant Amount ($) 1992 208 49,755 10,349,115 1993 256 49,727 12,730,184 1994 309 64,103 19,807,945 1995 301 64,571 19,436,011 1996 252 74,283 18,719,287 1997 261 74,262 19,382,371 1998 215 98,371 21,149,814 1999 236 98,749 23,304,757 2000 233 99,405 23,161,372 2001 219 99,353 21,758,218 2002 286 99,162 28,360,340 2003 437 99,275 43,383,103 2004 244 100,000 25,117,992 2005 149 98,575 14,687,703 1 All data in Appendix A were provided by or derived from data provided by the National Science Foundation.

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An Assessment of the SBIR Program at the National Science Foundation TABLE App-A-2 Phase I Applications and Success Rates, 1994–2005 Fiscal Year Phase I Proposals Not Funded Phase I Proposals Funded Total Phase I Proposals Success Rate: Percentage of Proposals Granted 1994 1,587 309 1,896 16.3 1995 1,552 301 1,853 16.2 1996 1,530 252 1,782 14.1 1997 1,390 261 1,651 15.8 1998 1,367 215 1,582 13.6 1999 1,286 236 1,522 15.5 2000 1,110 233 1,343 17.3 2001 942 219 1,161 18.9 2002 1,125 286 1,411 20.3 2003 1,653 437 2,090 20.9 2004 1,186 244 1,430 17.1 2005 923 149 1,072 13.9 TABLE App-A-3 Phase I Grants to Woman-owned Businesses, 1994–2005 Fiscal Year Phase I Grants to Woman-owned Businesses All Phase I Grants to Businesses Woman-owned Share of Phase I Grants (%) Average Size of Phase I Grants to Woman-owned Businesses ($) Average Size of All Phase I Grants ($) Average Size of Woman-owned Phase I Grants as a Percentage of Average Size of Overall Average Grants 1994 25 309 8.1 63,496 64,103 99.1 1995 33 301 11.0 64,680 64,571 100.2 1996 27 252 10.7 74,051 74,275 99.7 1997 24 261 9.2 74,252 74,262 100.0 1998 22 215 10.2 99,341 98,371 101.0 1999 16 236 6.8 96,863 98,096 98.7 2000 21 233 9.0 99,378 97,690 101.7 2001 17 219 7.8 99,299 99,353 99.9 2002 38 286 13.3 99,345 100,559 98.8 2003 47 437 10.8 99,789 99,272 100.5 2004 23 244 9.4 97,678 99,254 98.4 2005 20 149 13.4 99,136 98,575 100.6

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An Assessment of the SBIR Program at the National Science Foundation TABLE App-A-4 Phase I Applications and Success Rates for Woman-owned Companies, 1994–2005 Fiscal Year Proposals Declined Proposals Granted Total Applications Woman-owned Success Rate (%) Overall Success Rate (%) Woman-owned as Percentage of Overall Success Rate 1994 249 25 274 9.1 16.3 56.0 1995 212 33 245 13.5 16.2 82.9 1996 197 27 224 12.1 14.1 85.2 1997 204 24 228 10.5 15.8 66.6 1998 177 22 199 11.1 13.6 81.3 1999 179 16 195 8.2 15.5 52.9 2000 157 21 178 11.8 17.3 68.0 2001 133 17 150 11.3 18.9 60.1 2002 165 38 203 18.7 20.3 92.4 2003 209 47 256 18.4 20.9 87.8 2004 168 23 191 12.0 17.1 70.4 2005 135 20 154 13.0 13.9 93.4 TABLE App-A-5 Phase I Grants to Disadvantaged Businesses, 1994–2005 Fiscal Year Grants to Disadvantaged Businesses Grants to All Businesses Grants to Disadvantaged Businesses as a Percentage of Grants to All Businesses Average Grant Size to Disadvantaged Businesses ($) Average Grant Size to All Businesses ($) Average Grant Size to Disadvantaged Businesses as Percentage of Average Grant Size to All Businesses 1994 35 309 11.3 63,597 64,103 99.2 1995 40 301 13.3 64,849 64,571 100.4 1996 30 252 11.9 74,949 74,275 100.9 1997 35 261 13.4 74,746 74,262 100.7 1998 27 215 12.6 99,589 98,371 101.2 1999 36 236 15.3 98,431 98,096 100.3 2000 32 233 13.7 99,773 97,690 102.1 2001 35 219 16.0 99,571 99,353 100.2 2002 50 286 17.5 99,720 100,559 99.2 2003 54 437 12.4 99,515 99,272 100.2 2004 28 244 11.5 98,348 99,254 99.1 2005 16 149 10.7 98,601 98,575 100.0 NOTE: The NSF’s term “disadvantaged” is used here, whereas the main body of the report has used the SBA counterpart, “minority.” As concerns this NRC study, the two terms are considered equivalent, despite differences in federal contract usage.

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An Assessment of the SBIR Program at the National Science Foundation TABLE App-A-6 Phase I Applications and Success Rates of Disadvantaged Businesses, 1994–2005 Fiscal Year Disadvantaged Business Phase I Applications Declined Disadvantaged Business Phase I Applications Granted Disadvantaged Business Total Phase I Applications Success Rate of Disadvantaged Businesses (%) Success Rate of All Businesses (%) Disadvantaged Business Success Rate as Percentage of Overall Success Rate 1994 306 35 341 10.3 16.3 63.0 1995 302 40 342 11.7 16.2 72.0 1996 283 30 313 9.6 14.1 67.8 1997 263 35 298 11.7 15.8 74.3 1998 220 27 247 10.9 13.6 80.4 1999 211 36 247 14.6 15.5 94.0 2000 159 32 191 16.8 17.3 96.6 2001 167 35 202 17.3 18.9 91.9 2002 242 50 292 17.1 20.3 84.5 2003 359 54 413 13.1 20.9 62.5 2004 207 28 235 11.9 17.1 69.7 2005 154 16 170 9.4 13.9 67.7 NOTE: The NSF’s term “disadvantaged” is used here, whereas the main body of the report has used the SBA counterpart, “minority.” As concerns this NRC study, the two terms are considered equivalent, despite differences in federal contract usage.

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An Assessment of the SBIR Program at the National Science Foundation TABLE App-A-7 Distribution of Phase I Grants among Firms, 1993–2002 Number of Grants Number of Companies Receiving This Number of Grants Total Grants Received by These Companies 40 1 40 36 1 36 33 1 33 32 1 32 31 1 31 24 2 48 22 2 44 21 1 21 18 2 36 16 4 64 15 1 15 14 2 28 13 5 65 12 7 84 11 6 66 10 1 10 9 4 36 8 11 88 7 11 77 6 27 162 5 24 120 4 47 188 3 92 276 2 249 498 1 1,115 1,115 TABLE App-A-8 Phase I Previous Winners and New Winners, 1996–2003 Fiscal Year Grants Unique Winners Percentage of Grants to Multiple Winners Within Each Year Previous Winners New Winners Percentage New Winners 1996 252 207 17.9 98 109 52.7 1997 261 215 17.6 99 116 54.0 1998 215 183 14.9 83 100 54.6 1999 236 194 17.8 113 81 41.8 2000 233 205 12.0 97 108 52.7 2001 219 187 14.6 92 95 50.8 2002 286 232 18.9 99 133 57.3 2003 427 374 12.4 138 236 63.1 NOTE: The excess of grants over unique winners indicates the number of grants that went to firms receiving more than one grant within the designated year.

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An Assessment of the SBIR Program at the National Science Foundation TABLE App-A-9 Phase I Grants by State, 1992–2003 State Grants Percentage of All State Grants Percentage of All CA 656.0 19.0 MO 28 0.8 MA 476.0 13.8 DE 22 0.6 CO 192.0 5.6 IN 25 0.7 NY 183.0 5.3 WI 26 0.8 TX 140.0 4.0 OK 20 0.6 NJ 129.0 3.7 HI 21 0.6 CT 119.0 3.4 AR 24 0.7 VA 123.0 3.6 VT 18 0.5 MD 115.0 3.3 ME 20 0.6 OH 105.0 3.0 SC 15 0.4 PA 88.0 2.5 WY 13 0.4 AZ 81.0 2.3 SD 12 0.3 NM 78.0 2.3 KS 16 0.5 MN 63.0 1.8 AK 12 0.3 MI 69.0 2.0 WV 11 0.3 WA 63.0 1.8 ND 12 0.3 FL 60.0 1.7 LA 11 0.3 IL 53.0 1.5 ID 9 0.3 OR 46.0 1.3 IA 8 0.2 NC 53.0 1.5 NV 6 0.2 UT 40.0 1.2 KY 7 0.2 GA 44.0 1.3 NE 6 0.2 AL 34.0 1.0 MS 7 0.2 TN 30.0 0.9 RI 2 0.1 NH 29.0 0.8 PR 3 0.1 MT 32.0 0.9 DC 2 0.1 TABLE App-A-10 Phase I Applications and Success Rates by State, 1992–2003 State Declines Grants Total Applications Success Rate (%) AK 29 12 41 29.3 AL 173 25 198 12.6 AR 34 18 52 34.6 AZ 442 72 514 14.0 CA 2420 602 3022 19.9 CO 743 184 927 19.8 CT 457 118 575 20.5 DC 25 2 27 7.4 DE 109 22 131 16.8 FL 332 53 385 13.8

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An Assessment of the SBIR Program at the National Science Foundation State Declines Grants Total Applications Success Rate (%) GA 152 38 190 20.0 GU 1 1 0.0 HI 56 17 73 23.3 IA 39 8 47 17.0 ID 49 7 56 12.5 IL 267 52 319 16.3 IN 116 19 135 14.1 KS 43 12 55 21.8 KY 17 6 23 26.1 LA 121 10 131 7.6 MA 1512 472 1984 23.8 MD 611 106 717 14.8 ME 35 14 49 28.6 MI 338 60 398 15.1 MN 259 63 322 19.6 MO 87 26 113 23.0 MS 28 4 32 12.5 MT 78 26 104 25.0 NC 154 41 195 21.0 ND 24 11 35 31.4 NE 6 4 10 40.0 NH 89 31 120 25.8 NJ 581 117 698 16.8 NM 295 79 374 21.1 NV 32 5 37 13.5 NY 638 171 809 21.1 OH 515 88 603 14.6 OK 60 19 79 24.1 OR 141 47 188 25.0 PA 338 84 422 19.9 PR 2   RI 27 3 30 10.0 SC 29 14 43 32.6 SD 42 10 52 19.2 TN 126 30 156 19.2 TX 759 140 899 15.6 UT 157 38 195 19.5 VA 773 113 886 12.8 VI 1 0 1 0.0 VT 35 15 50 30.0 WA 273 58 331 17.5 WI 109 22 131 16.8 WV 48 11 59 18.6 WY 27 12 39 30.8 NOTE: Through 2003.

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An Assessment of the SBIR Program at the National Science Foundation TABLE App-A-11 Phase II Grants, 1992–2005 Fiscal Year Grants Average ($) Maximum ($) Minimum ($) Total ($) 1992 57 246,373 288,934 203,984 14,043,289 1993 52 269,668 321,875 224,503 14,022,757 1994 21 279,983 300,000 242,194 5,879,644 1995 48 277,136 300,000 6,000 13,302,542 1996 90 297,584 399,998 213,271 26,782,533 1997 122 289,390 325,817 66,327 35,305,525 1998 117 344,958 400,000 262,889 40,360,087 1999 89 394,854 400,000 200,000 35,141,968 2000 95 400,827 453,585 300,000 38,078,524 2001 91 475,018 500,000 200,000 43,226,632 2002 67 495,645 500,000 329,984 33,208,238 2003 77 498,505 500,000 417,779 38,384,851 2004 131 498,254 500,000 398,768 65,278,995 2005 132 499,715 749,947 320,102 65,962,445 TABLE App-A-12 Phase II Applications and Success Rates, 1993–2005 Fiscal Year Phase II Proposals Not Funded Phase II Proposals Funded Total Phase II Proposals Success Rate: Percentage of Proposals Granted 1993 41 52 93 55.9 1994 106 21 127 16.5 1995 159 48 207 23.2 1996 133 90 223 40.4 1997 115 122 237 51.5 1998 93 117 210 55.7 1999 91 89 180 49.4 2000 92 95 187 50.8 2001 83 91 174 52.3 2002 91 67 158 42.4 2003 110 77 187 41.2 2004 190 131 321 40.8 2005 83 132 215 61.4

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An Assessment of the SBIR Program at the National Science Foundation TABLE App-A-13 Phase II Grants to Woman-owned Businesses, 1995–2005 Fiscal Year Phase II Grants to Woman-owned Businesses Phase II Grants to All Businesses Woman-owned Share of All Phase II Grants (%) Average Size of Phase II Grants to Woman-owned Businesses ($) Average Size of All Phase II Grants ($) Average Size of Woman-owned Phase II as a Percentage of Average Size of All Phase II Grants 1995 1 48 2.1 299,994 277,136 1.1 1996 5 90 5.6 289,799 297,584 1.0 1997 7 122 5.7 292,329 289,390 1.0 1998 16 117 13.7 327,549 344,958 0.9 1999 8 89 9.0 399,801 394,854 1.0 2000 9 95 9.5 404,585 400,827 1.0 2001 6 91 6.6 466,323 475,018 1.0 2002 4 67 6.0 499,407 495,645 1.0 2003 4 77 5.2 499,903 498,505 1.0 2004 5 131 3.8 499,903 497,997 1.0 2005 14 132 10.6       TABLE App-A-14 Phase II Applications and Success Rates for Woman-owned Businesses, 1995–2005 Fiscal Year Woman-owned Business Phase II Applications Declined Woman-owned Business Phase II Applications Granted Woman-owned Business Total Phase II Applications Success Rate of Woman-owned Businesses (%) Overall Success Rate (%) Success Rate of Woman-owned Businesses as Percentage of Overall Success Rate 1995 1 1 2 50.0 23.2 215.6 1996 15 5 20 25.0 40.4 61.9 1997 14 7 21 33.3 51.5 64.8 1998 8 16 24 66.7 55.7 119.7 1999 14 8 22 36.4 49.4 73.5 2000 5 9 14 64.3 50.8 126.5 2001 9 6 15 40.0 52.3 76.5 2002 11 4 15 26.7 42.4 62.9 2003 22 4 26 15.4 41.2 37.4 2004 14 5 19 26.3 40.8 64.5 2005 11 14 25 56.0 61.4 91.2

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An Assessment of the SBIR Program at the National Science Foundation TABLE App-A-15 Phase II Grants to Disadvantaged Businesses, 1995–2005 Fiscal Year Phase II Grants to Disadvantaged Businesses Phase II Grants to All Businesses Phase II Grants to Disadvantaged Businesses as Percentage of Phase II Grants to All Businesses 1995 1 48 2.1 1996 9 90 10.0 1997 30 122 24.6 1998 14 117 12.0 1999 20 89 22.5 2000 16 95 16.8 2001 7 91 7.7 2002 8 67 11.9 2003 8 77 10.4 2004 12 131 9.2 2005 10 132 7.6 TABLE App-A-16 Phase II Applications and Success Rates for Disadvantaged Businesses, 1995–2005 Fiscal Year Disadvantaged Business Phase II Applications Declined Disadvantaged Business Phase II Applications Granted Disadvantaged Business Total Phase II Applications Success Rate of Disadvantaged Businesses (%) Success Rate of All Businesses (%) Success Rate of Disadvantaged Businesses as Percentage of Overall Success Rate 1995 8 1 9 11.1 23.2 47.9 1996 20 9 29 31.0 40.4 76.9 1997 17 30 47 63.8 51.5 124.0 1998 13 14 27 51.9 55.7 93.1 1999 9 20 29 69.0 49.4 139.5 2000 12 16 28 57.1 50.8 112.5 2001 11 7 18 38.9 52.3 74.4 2002 22 8 30 26.7 42.4 62.9 2003 24 8 32 25.0 41.2 60.7 2004 35 12 47 25.5 40.8 62.6 2005 10 10 20 50.0 45.2 110.7

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An Assessment of the SBIR Program at the National Science Foundation TABLE App-A-17 Phase II Grants by State, 1992–2004 State Grants Percentage of All State Grants Percentage of All CA 228 27.8 NH 10 0.0 MA 139 16.9 MT 12 0.0 CO 57 6.9 VT 8 0.0 NY 56 6.8 DE 8 0.0 CT 38 4.6 WI 8 0.0 VA 39 4.8 HI 6 0.0 MD 36 4.4 ND 7 0.0 TX 35 4.3 OK 6 0.0 OH 32 3.9 SD 5 0.0 NJ 29 3.5 WY 6 0.0 MI 24 2.9 AK 4 0.0 NM 24 2.9 IN 4 0.0 MN 21 2.6 KS 5 0.0 WA 20 2.4 ME 4 0.0 PA 21 2.6 SC 6 0.0 AZ 17 2.1 AR 6 0.0 IL 20 2.4 KY 3 0.0 TN 15 1.8 MO 5 0.0 FL 17 2.1 ID 2 0.0 GA 15 1.8 LA 3 0.0 NC 12 1.5 MS 1 0.0 OR 14 1.7 NE 1 0.0 UT 13 1.6 NV 1 0.0 AL 11 1.3 RI 1 0.0 DC 1 0.0       IA 1 0.0

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An Assessment of the SBIR Program at the National Science Foundation TABLE App-A-18 Phase II Applications and Success Rates by State, 1993–2003 State Applications Declined Applications Granted Total Applications Success Rate (%) CA 194 196 390 50.3 MA 174 125 299 41.8 CO 61 51 112 45.5 NY 66 49 115 42.6 CT 45 36 81 44.4 VA 43 35 78 44.9 MD 41 32 73 43.8 TX 44 31 75 41.3 OH 38 29 67 43.3 NJ 45 25 70 35.7 MI 17 24 41 58.5 NM 36 22 58 37.9 MN 22 18 40 45.0 WA 19 18 37 48.6 PA 26 16 42 38.1 AZ 35 15 50 30.0 IL 11 15 26 57.7 TN 7 14 21 66.7 FL 20 12 32 37.5 GA 13 12 25 48.0 NC 8 12 20 60.0 OR 12 12 24 50.0 UT 15 12 27 44.4 AL 15 10 25 40.0 NH 8 10 18 55.6 MT 5 9 14 64.3 VT 7 8 15 53.3 DE 10 7 17 41.2 WI 4 7 11 63.6 HI 5 6 11 54.5 ND 1 6 7 85.7 OK 6 5 11 45.5 SD 5 5 10 50.0 WY 3 5 8 62.5 AK 1 4 5 80.0 IN 6 4 10 40.0 KS 3 4 7 57.1 ME 3 4 7 57.1 SC 5 4 9 44.4 AR 5 3 8 37.5 KY 2 3 5 60.0 MO 6 3 9 33.3 ID 2 2 4 50.0 LA 5 2 7 28.6

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An Assessment of the SBIR Program at the National Science Foundation State Applications Declined Applications Granted Total Applications Success Rate (%) MS 3 1 4 25.0 NE 0 1 1 100.0 NV 4 1 5 20.0 RI 1 1 2 50.0 IA 2 0 2 0.0 PR 1 0 1 0.0 WV 4 0 4 0.0 TABLE App-A-19 Sample of Multiple Phase I Grant Recipients and Their Success in Getting Follow-on Phase II Grants Company Phase II Grants Phase I Grants Conversion Rate (%) Optivision Incorporated 6 6 100.0 T/J Technologies, Inc. 7 9 77.8 Displaytech Incorporated 6 8 75.0 Advanced Fuel Research, Inc. 10 18 55.6 INRAD, Inc. 6 11 54.5 Reveo Incorporated 7 13 53.8 GINER, INC. 7 13 53.8 Quantum Magnetics, Inc. 6 12 50.0 HYPRES, Inc. 6 12 50.0 Science Research Laboratory, Inc. 10 22 45.5 Envirogen, Inc. 6 14 42.9 TPL, Inc. 6 15 40.0 CFD Research Corporation 7 18 38.9 Physical Optics Corporation 12 33 36.4 TDA Research, Inc. 12 40 30.0 Materials Modification, Inc. 6 24 25.0 Eltron Research, Inc. 6 24 25.0 Materials & Electrochemical Research Corp. (MER) 7 31 22.6 Lynntech, Inc. 8 36 22.2 Spire Corporation 7 32 21.9

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An Assessment of the SBIR Program at the National Science Foundation TABLE App-A-20 Phase IIB Grants, 1992–1995 Fiscal Year Phase IIB Grants Total Outlay Phase IIB ($) 1992 0 0 1993 0 0 1994 0 0 1995 0 0 1996 0 0 1997 0 0 1998 4 399,944 1999 21 1,998,574 2000 9 1,660,191 2001 14 4,302,682 2002 39 9,588,580 2003 24 5,690,294 2004 22 6,025,436 2005 28 9,260,464 TABLE App-A-21 Distribution of NSF SBIR Phase IIB Grants by State in Descending Order of Grants Received, 1998–2005 State Grants Percent of All State Grants Percent of All CA 36 22.4 DE 2 1.2 MA 21 13.0 KS 2 1.2 NY 11 6.8 NH 2 1.2 NC 7 4.3 NM 2 1.2 OH 7 4.3 TN 2 1.2 MN 6 3.7 UT 2 1.2 FL 5 3.1 VT 2 1.2 MD 5 3.1 WI 2 1.2 VA 5 3.1 AK 1 0.6 AL 4 2.5 AZ 1 0.6 IL 4 2.5 HI 1 0.6 MI 4 2.5 MT 1 0.6 PA 4 2.5 ND 1 0.6 GA 3 1.9 OK 1 0.6 TX 3 1.9 OR 1 0.6 WA 3 1.9 RI 1 0.6 WY 3 1.9 SC 1 0.6 CO 2 1.2 SD 1 0.6 CT 2 1.2