Appendix A
DoD Data Book

AWARDS

TABLE App-A-1 DoD Phase I and Phase II Awards, per Year

Year

Number of Phase I Awards

Number of Phase II Awards

Total

1992

1,065

433

1,498

1993

1,303

591

1,894

1994

1,370

406

1,776

1995

1,262

575

1,837

1996

1,372

611

1,983

1997

1,526

638

2,164

1998

1,286

672

1,958

1999

1,393

568

1,961

2000

1,220

626

1,846

2001

1,310

702

2,012

2002

2,162

661

2,823

2003

2,113

1,078

3,191

2004

2,075

1,173

3,248

2005

2,344

998

3,342

Total

21,801

9,732

31,533

SOURCE: Department of Defense.



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Appendix A DoD Data Book AWARDS TABLE App-A-1 DoD Phase I and Phase II Awards, per Year Number of Number of Year Phase I Awards Phase II Awards Total 1992 1,065 433 1,498 1993 1,303 591 1,894 1994 1,370 406 1,776 1995 1,262 575 1,837 1996 1,372 611 1,983 1997 1,526 638 2,164 1998 1,286 672 1,958 1999 1,393 568 1,961 2000 1,220 626 1,846 2001 1,310 702 2,012 2002 2,162 661 2,823 2003 2,113 1,078 3,191 2004 2,075 1,173 3,248 2005 2,344 998 3,342 Total 21,801 9,732 31,533 SOURCE: Department of Defense. 

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 TABLE App-A-2 DoD Phase I Awards by Component, per Year Number of Phase I Awards Year AF ARMY BMDO CBD DARPA DSWA DTRA MDA NAVY NGA NIMA OSD SOCOM Total 1992 230 224 0 0 169 24 0 209 209 0 0 0 0 1,065 1993 470 288 0 0 70 19 0 147 306 0 0 0 3 1,303 1994 390 175 0 0 328 9 0 161 290 0 0 0 17 1,370 1995 427 252 0 0 31 11 0 116 373 0 0 42 10 1,262 1996 310 247 0 0 237 15 0 140 361 0 0 56 6 1,372 1997 431 291 0 0 146 19 0 189 380 0 0 59 11 1,526 1998 471 200 167 20 44 0 9 11 229 0 3 115 17 1,286 1999 416 197 170 20 119 0 26 0 406 0 2 29 8 1,393 2000 367 198 230 26 82 0 20 0 216 0 6 56 19 1,220 2001 373 281 161 18 82 0 24 0 241 0 2 108 20 1,310 2002 427 282 2 34 120 0 23 520 578 0 4 128 44 2,162 2003 449 352 0 25 90 0 7 454 550 0 2 156 28 2,113 2004 527 356 0 27 155 0 0 315 585 2 0 83 25 2,075 2005 608 705 0 21 74 0 40 240 466 2 0 163 25 2,344 Total 5,896 4,048 730 191 1,747 97 149 2,502 5,190 4 19 995 233 21,801 SOURCE: Department of Defense.

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TABLE App-A-3 DoD Phase II Awards by Component, per Year Number of Phase II Awards Year AF ARMY BMDO CBD DARPA DSWA DTRA MDA NAVY NGA NIMA OSD SOCOM Total 1992 110 172 0 0 41 0 12 46 52 0 0 0 0 433 1993 199 123 0 0 83 0 6 60 120 0 0 0 0 591 1994 152 78 0 0 43 0 3 23 107 0 0 0 0 406 1995 191 131 0 0 84 0 6 34 127 0 0 0 2 575 1996 217 100 0 0 78 0 3 36 156 0 0 16 5 611 1997 221 113 0 0 57 0 6 51 164 0 0 23 3 638 1998 243 111 0 0 71 0 7 69 136 0 0 33 2 672 1999 212 105 0 6 44 0 7 43 107 0 0 37 7 568 2000 195 112 0 8 45 0 5 56 186 1 0 13 5 626 2001 221 180 0 7 53 0 6 59 136 3 0 29 8 702 2002 233 124 0 11 47 0 6 28 170 1 0 36 5 661 2003 234 323 0 10 66 0 3 184 193 1 0 50 14 1,078 2004 317 273 0 11 75 0 3 211 212 2 0 60 9 1,173 2005 339 123 0 7 80 0 4 102 290 1 0 38 14 998 Total 3,084 2,068 0 60 867 0 77 1,002 2,156 9 0 335 74 9,732 SOURCE: Department of Defense. 

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 TABLE App-A-4 DoD Total SBIR Awards by Component, per Year Number of SBIR Awards Year AF ARMY BMDO CBD DARPA DSWA DTRA MDA NAVY NGA NIMA OSD SOCOM Total 1992 340 396 0 0 210 24 12 255 261 0 0 0 0 1,498 1993 669 411 0 0 153 19 6 207 426 0 0 0 3 1,894 1994 542 253 0 0 371 9 3 184 397 0 0 0 17 1,776 1995 618 383 0 0 115 11 6 150 500 0 0 42 12 1,837 1996 527 347 0 0 315 15 3 176 517 0 0 72 11 1,983 1997 652 404 0 0 203 19 6 240 544 0 0 82 14 2,164 1998 714 311 167 20 115 0 16 80 365 0 3 148 19 1,958 1999 628 302 170 26 163 0 33 43 513 0 2 66 15 1,961 2000 562 310 230 34 127 0 25 56 402 1 6 69 24 1,846 2001 594 461 161 25 135 0 30 59 377 3 2 137 28 2,012 2002 660 406 2 45 167 0 29 548 748 1 4 164 49 2,823 2003 683 675 0 35 156 0 10 638 743 1 2 206 42 3,191 2004 844 629 0 38 230 0 3 526 797 4 0 143 34 3,248 2005 947 828 0 28 154 0 44 342 756 3 0 201 39 3,342 Total 8,980 6,116 730 251 2,614 97 226 3,504 7,346 13 19 1,330 307 31,533 SOURCE: Department of Defense.

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TABLE App-A-5 DoD Phase I Awards by Component, per Year (Percent of Annual Awards) Phase I Awards (Percent of Annual Awards) Year AF ARMY BMDO CBD DARPA DSWA DTRA MDA NAVY NGA NIMA OSD SOCOM Total 1992 21.6 21.0 0.0 0.0 15.9 2.3 0.0 19.6 19.6 0.0 0.0 0.0 0.0 100.0 1993 36.1 22.1 0.0 0.0 5.4 1.5 0.0 11.3 23.5 0.0 0.0 0.0 0.2 100.0 1994 28.5 12.8 0.0 0.0 23.9 0.7 0.0 11.8 21.2 0.0 0.0 0.0 1.2 100.0 1995 33.8 20.0 0.0 0.0 2.5 0.9 0.0 9.2 29.6 0.0 0.0 3.3 0.8 100.0 1996 22.6 18.0 0.0 0.0 17.3 1.1 0.0 10.2 26.3 0.0 0.0 4.1 0.4 100.0 1997 28.2 19.1 0.0 0.0 9.6 1.2 0.0 12.4 24.9 0.0 0.0 3.9 0.7 100.0 1998 36.6 15.6 13.0 1.6 3.4 0.0 0.7 0.9 17.8 0.0 0.2 8.9 1.3 100.0 1999 29.9 14.1 12.2 1.4 8.5 0.0 1.9 0.0 29.1 0.0 0.1 2.1 0.6 100.0 2000 30.1 16.2 18.9 2.1 6.7 0.0 1.6 0.0 17.7 0.0 0.5 4.6 1.6 100.0 2001 28.5 21.5 12.3 1.4 6.3 0.0 1.8 0.0 18.4 0.0 0.2 8.2 1.5 100.0 2002 19.8 13.0 0.1 1.6 5.6 0.0 1.1 24.1 26.7 0.0 0.2 5.9 2.0 100.0 2003 21.2 16.7 0.0 1.2 4.3 0.0 0.3 21.5 26.0 0.0 0.1 7.4 1.3 100.0 2004 25.4 17.2 0.0 1.3 7.5 0.0 0.0 15.2 28.2 0.1 0.0 4.0 1.2 100.0 2005 25.9 30.1 0.0 0.9 3.2 0.0 1.7 10.2 19.9 0.1 0.0 7.0 1.1 100.0 Total 27.0 18.6 3.3 0.9 8.0 0.4 0.7 11.5 23.8 0.0 0.1 4.6 1.1 100.0 SOURCE: Department of Defense. 7

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 TABLE App-A-6 DoD Phase II Awards by Component, per Year (Percent of Annual Awards) Phase II Awards (Percent of Annual Awards) Year AF ARMY BMDO CBD DARPA DSWA DTRA MDA NAVY NGA NIMA OSD SOCOM Total 1992 25.4 39.7 0.0 0.0 9.5 0.0 2.8 10.6 12.0 0.0 0.0 0.0 0.0 100.0 1993 33.7 20.8 0.0 0.0 14.0 0.0 1.0 10.2 20.3 0.0 0.0 0.0 0.0 100.0 1994 37.4 19.2 0.0 0.0 10.6 0.0 0.7 5.7 26.4 0.0 0.0 0.0 0.0 100.0 1995 33.2 22.8 0.0 0.0 14.6 0.0 1.0 5.9 22.1 0.0 0.0 0.0 0.3 100.0 1996 35.5 16.4 0.0 0.0 12.8 0.0 0.5 5.9 25.5 0.0 0.0 2.6 0.8 100.0 1997 34.6 17.7 0.0 0.0 8.9 0.0 0.9 8.0 25.7 0.0 0.0 3.6 0.5 100.0 1998 36.2 16.5 0.0 0.0 10.6 0.0 1.0 10.3 20.2 0.0 0.0 4.9 0.3 100.0 1999 37.3 18.5 0.0 1.1 7.7 0.0 1.2 7.6 18.8 0.0 0.0 6.5 1.2 100.0 2000 31.2 17.9 0.0 1.3 7.2 0.0 0.8 8.9 29.7 0.2 0.0 2.1 0.8 100.0 2001 31.5 25.6 0.0 1.0 7.5 0.0 0.9 8.4 19.4 0.4 0.0 4.1 1.1 100.0 2002 35.2 18.8 0.0 1.7 7.1 0.0 0.9 4.2 25.7 0.2 0.0 5.4 0.8 100.0 2003 21.7 30.0 0.0 0.9 6.1 0.0 0.3 17.1 17.9 0.1 0.0 4.6 1.3 100.0 2004 27.0 23.3 0.0 0.9 6.4 0.0 0.3 18.0 18.1 0.2 0.0 5.1 0.8 100.0 2005 34.0 12.3 0.0 0.7 8.0 0.0 0.4 10.2 29.1 0.1 0.0 3.8 1.4 100.0 Total 31.7 21.2 0.0 0.6 8.9 0.0 0.8 10.3 22.2 0.1 0.0 3.4 0.8 100.0 SOURCE: Department of Defense.

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TABLE App-A-7 DoD Phase I and Phase II Awards by Component, per Year (Percent of Annual Awards) Phase I and Phase II Awards (Percent of Annual Awards) Year AF ARMY BMDO CBD DARPA DSWA DTRA MDA NAVY NGA NIMA OSD SOCOM Total 1992 22.7 26.4 0.0 0.0 14.0 1.6 0.8 17.0 17.4 0.0 0.0 0.0 0.0 100.0 1993 35.3 21.7 0.0 0.0 8.1 1.0 0.3 10.9 22.5 0.0 0.0 0.0 0.2 100.0 1994 30.5 14.2 0.0 0.0 20.9 0.5 0.2 10.4 22.4 0.0 0.0 0.0 1.0 100.0 1995 33.6 20.8 0.0 0.0 6.3 0.6 0.3 8.2 27.2 0.0 0.0 2.3 0.7 100.0 1996 26.6 17.5 0.0 0.0 15.9 0.8 0.2 8.9 26.1 0.0 0.0 3.6 0.6 100.0 1997 30.1 18.7 0.0 0.0 9.4 0.9 0.3 11.1 25.1 0.0 0.0 3.8 0.6 100.0 1998 36.5 15.9 8.5 1.0 5.9 0.0 0.8 4.1 18.6 0.0 0.2 7.6 1.0 100.0 1999 32.0 15.4 8.7 1.3 8.3 0.0 1.7 2.2 26.2 0.0 0.1 3.4 0.8 100.0 2000 30.4 16.8 12.5 1.8 6.9 0.0 1.4 3.0 21.8 0.1 0.3 3.7 1.3 100.0 2001 29.5 22.9 8.0 1.2 6.7 0.0 1.5 2.9 18.7 0.1 0.1 6.8 1.4 100.0 2002 23.4 14.4 0.1 1.6 5.9 0.0 1.0 19.4 26.5 0.0 0.1 5.8 1.7 100.0 2003 21.4 21.2 0.0 1.1 4.9 0.0 0.3 20.0 23.3 0.0 0.1 6.5 1.3 100.0 2004 26.0 19.4 0.0 1.2 7.1 0.0 0.1 16.2 24.5 0.1 0.0 4.4 1.0 100.0 2005 28.3 24.8 0.0 0.8 4.6 0.0 1.3 10.2 22.6 0.1 0.0 6.0 1.2 100.0 Total 28.5 19.4 2.3 0.8 8.3 0.3 0.7 11.1 23.3 0.0 0.1 4.2 1.0 100.0 SOURCE: Department of Defense. 9

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0 APPENDIX A TABLE App-A-8 DoD Phase I and Phase II Awards, per State (1992–2005) Phase I Awards Phase II Awards Total Awards State Number Percent State Number Percent State Number Percent CA 4,929 22.61 CA 2,198 22.59 CA 7,127 22.60 MA 3,212 14.73 MA 1,412 14.51 MA 4,624 14.66 VA 1,607 7.37 VA 741 7.61 VA 2,348 7.45 MD 1,047 4.80 OH 447 4.59 MD 1,478 4.69 OH 929 4.26 CO 435 4.47 OH 1,376 4.36 CO 928 4.26 MD 431 4.43 CO 1,363 4.32 NY 869 3.99 PA 413 4.24 NY 1,269 4.02 TX 848 3.89 NY 400 4.11 PA 1,250 3.96 PA 837 3.84 TX 346 3.56 TX 1,194 3.79 NJ 687 3.15 NJ 309 3.18 NJ 996 3.16 FL 582 2.67 FL 240 2.47 FL 822 2.61 AL 513 2.35 AL 227 2.33 AL 740 2.35 AZ 461 2.11 NM 203 2.09 NM 659 2.09 NM 456 2.09 MI 194 1.99 AZ 616 1.95 MI 420 1.93 CT 191 1.96 MI 614 1.95 CT 392 1.80 WA 165 1.70 CT 583 1.85 WA 326 1.50 AZ 155 1.59 WA 491 1.56 MN 294 1.35 MN 127 1.30 MN 421 1.34 NH 248 1.14 NH 124 1.27 NH 372 1.18 IL 214 0.98 IL 94 0.97 IL 308 0.98 GA 202 0.93 GA 92 0.95 GA 294 0.93 NC 178 0.82 NC 79 0.81 NC 257 0.82 UT 151 0.69 UT 76 0.78 UT 227 0.72 TN 142 0.65 TN 69 0.71 TN 211 0.67 OR 140 0.64 OR 63 0.65 OR 203 0.64 IN 94 0.43 NV 48 0.49 IN 130 0.41 continued

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 APPENDIX A TABLE App-A-8 Continued Phase I Awards Phase II Awards Total Awards State Number Percent State Number Percent State Number Percent MO 92 0.42 WI 46 0.47 WI 129 0.41 OK 84 0.39 IN 36 0.37 MO 122 0.39 WI 83 0.38 RI 32 0.33 NV 117 0.37 RI 73 0.33 MO 30 0.31 OK 113 0.36 NV 69 0.32 OK 29 0.30 RI 105 0.33 ME 63 0.29 ME 26 0.27 ME 89 0.28 HI 59 0.27 WV 25 0.26 HI 79 0.25 LA 57 0.26 MT 25 0.26 DE 77 0.24 DE 56 0.26 KS 22 0.23 LA 75 0.24 SC 56 0.26 DE 21 0.22 SC 75 0.24 WV 50 0.23 HI 20 0.21 WV 75 0.24 DC 49 0.22 VT 19 0.20 MT 72 0.23 MT 47 0.22 SC 19 0.20 KS 67 0.21 KS 45 0.21 LA 18 0.18 DC 62 0.20 VT 43 0.20 ID 13 0.13 VT 62 0.20 ID 36 0.17 DC 13 0.13 ID 49 0.16 MS 26 0.12 NE 11 0.11 MS 37 0.12 IA 21 0.10 MS 11 0.11 IA 30 0.10 KY 20 0.09 IA 9 0.09 NE 29 0.09 NE 18 0.08 AR 8 0.08 KY 27 0.09 AR 15 0.07 KY 7 0.07 AR 23 0.07 WY 10 0.05 ND 6 0.06 ND 15 0.05 ND 9 0.04 WY 3 0.03 WY 13 0.04 AK 7 0.03 SD 2 0.02 AK 9 0.03 SD 7 0.03 AK 2 0.02 SD 9 0.03 Total 21,801 Total 9,732 Total 31,533 SOURCE: Department of Defense.

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 APPENDIX A TABLE App-A-9 DoD Awards by Demographics DoD Awards to Woman-owned Firms DoD Awards to Minority-owned Firms Number of Number of Number of Number of Phase I Phase II Phase I Phase II Year Awards Awards Total Year Awards Awards Total 1992 89 29 118 1992 127 67 194 1993 110 49 159 1993 190 69 259 1994 118 36 154 1994 199 43 242 1995 101 53 154 1995 180 89 269 1996 134 51 185 1996 197 86 283 1997 129 58 187 1997 196 117 313 1998 108 62 170 1998 137 107 244 1999 129 44 173 1999 195 73 268 2000 110 62 172 2000 143 74 217 2001 141 75 216 2001 148 80 228 2002 219 60 279 2002 249 63 312 2003 213 110 323 2003 229 98 327 2004 206 117 323 2004 200 102 302 2005 303 132 435 2005 219 116 335 Total 2,110 938 3,048 Total 2,609 1,184 3,793 DoD Awards to Minority DoD Awards to Either Minority- or Woman-owned Firms Woman-owned Firms Number of Number of Number Number of Phase I Phase II of Phase I Phase II Year Awards Awards Total Year Awards Awards Total 1992 32 8 40 1992 184 88 272 1993 31 7 38 1993 269 111 380 1994 20 5 25 1994 297 74 371 1995 25 12 37 1995 256 130 386 1996 27 11 38 1996 304 126 430 1997 31 18 49 1997 294 157 451 1998 26 14 40 1998 219 155 374 1999 31 8 39 1999 293 109 402 2000 19 10 29 2000 234 126 360 2001 28 9 37 2001 261 146 407 2002 51 14 65 2002 417 109 526 2003 34 19 53 2003 408 189 597 2004 38 16 54 2004 368 203 571 2005 43 23 66 2005 479 225 704 Total 436 174 610 Total 4,283 1,948 6,231 SOURCE: Department of Defense.

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TABLE App-A-10 Award Distribution Mean ($) Count Minimum ($) Maximum ($) Sum ($) Median ($) FY Phase I Phase II Phase I Phase II Phase I Phase II Phase I Phase II Phase I Phase II Phase I Phase II 1992 51,952 502,886 1,065 433 23,980 77,464 150,000 6,190,970 55,328,849 217,749,677 49,985 496,424 1993 56,939 560,752 1,303 591 6,622 50,000 238,729 4,293,621 74,191,797 331,404,639 50,000 502,567 1994 74,454 626,667 1,370 406 25,698 94,995 118,086 1,975,000 102,001,625 254,426,790 69,969 646,025 1995 76,269 668,247 1,262 575 9,164 114,749 129,770 4,236,522 96,251,012 384,241,870 71,900 650,400 1996 81,695 692,883 1,372 611 34,150 69,977 150,803 5,776,851 112,084,899 423,351,421 70,757 710,501 1997 88,074 742,196 1,526 638 6,170 87,650 153,675 6,838,043 134,401,334 473,520,837 98,796 744,797 1998 89,242 748,204 1,286 672 5,388 69,673 163,805 2,382,173 114,765,110 502,792,826 99,114 748,237 1999 85,741 789,013 1,393 568 0 190,195 198,216 4,089,106 119,437,606 448,159,151 91,629 749,262 2000 89,587 817,288 1,220 626 0 99,304 179,968 3,562,762 109,296,293 511,622,538 99,000 749,110 2001 91,656 836,488 1,310 702 45,500 124,997 262,540 6,361,394 120,069,946 587,214,239 99,568 748,121 2002 88,049 844,539 2,162 661 40,002 65,000 303,996 7,674,976 190,362,208 558,240,048 98,449 749,731 2003 88,776 807,484 2,113 1,078 36,595 8,897 448,796 4,024,384 187,584,379 870,468,216 98,979 747,245 2004 95,224 772,776 2,075 1,173 25,000 104,211 597,999 4,829,998 197,590,105 906,466,318 99,820 747,989 2005 91,076 730,747 2,344 998 33,944 50,000 163,050 4,294,783 213,482,151 729,285,506 99,439 748,994 SOURCE: Department of Defense. 

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7 APPENDIX A TABLE App-A-29 Sales by Firm Growth Of the 420 projects that reported sales or licensing at time of survey, only 399 projects reported the year for first sale (Question 4). Of the 399 projects that reported the year for first sale, 393 projects reported a combined sales dollar amount > 0 (Questions 4a + 4b) Of the 393 project that reported a combined sales dollar amount > 0 379 projects reported their current number of of employees. Employee $100K to $1M to $5M to Change $50M Total Percent –26 + 1 4 0 1 6 1.6 –6 to –25 4 7 1 1 13 3.4 –1 to –5 9 13 1 0 23 6.1 0–5 29 50 19 8 106 28.0 6–10 10 27 20 4 61 16.1 11–25 9 26 28 6 69 18.2 26–50 7 13 20 17 57 15.0 51–100 2 10 4 6 22 5.8 101–250 5 6 5 2 16 4.7 251–500 1 1 0 2 0.5 500+ 1 0 1 2 0.5 Missing Total 71 157 100 49 2 379 Percent 18.7% 41.4% 26.4% 12.9% 0.5% 100.0% Mean 7.0 24.0 31.3 60.2 224.0 28.5 Mean change in employees by sales classification Employee change = (16b – 16a) of the Phase II survey 16a Number of employees (if known) when Phase II proposal was submitted 16b Current number of employees SOURCE: NRC Phase II Survey.

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 APPENDIX A TABLE App-A-30 Firm Growth by Year of Award 811 answered question 16a and 16b Number Growth Sum Average Employment Year of Projects (Number of Employees) Growth per Project 2001 135 1,588 11.8 2000 132 2,122 16.1 1999 89 2,151 24.2 1998 97 3,244 33.4 1997 69 1,438 20.8 1996 60 2,415 40.3 1995 73 1,452 19.9 1994 49 3,087 63.0 1993 65 1,608 24.7 1992 42 1,984 47.2 811 21,089 26.0 NOTE: Firms that “closed” were not surveyed, thus the “true” average growth could be lower. SOURCE: NRC Phase II Survey. TABLE App-A-31 Customers 5. To date, approximately what percent of total sales from the technology developed during this project have gone to the following customers? (If none enter 0 [zero]. Round percentages. Answers should add to about 100 percent). 920 firms responded to this question as to what percent of their sales went to each agency or sector Domestic private sector 21% Department of Defense (DoD) 38% Prime contractors for DoD or NASA 12% NASA 1% —% Agency that awarded the Phase II Other federal agencies (Pull down) 1% State or local governments 1% Export Markets 11% Other (Specify)_____________ 16% SOURCE: NRC Phase II Survey.

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9 APPENDIX A TABLE App-A-32 Sales by Year of Award Number of Total Average Average Reported Year of Number of Respondents Reported Reported Sales Sales (All Firms Award Respondents with Sales Sales ($) (n=378) ($) n=920) ($) 1992 46 19 150,371,265 7,914,277 3,268,941 1993 75 24 89,398,693 3,886,900 1,191,983 1994 55 27 128,949,544 4,775,909 2,344,537 1995 82 31 92,889,225 2,996,427 1,132,795 1996 62 30 72,995,813 2,433,194 1,177,352 1997 78 30 84,807,417 2,826,914 1,087,275 1998 107 48 104,409,505 2,175,198 975,790 1999 94 49 76,685,396 1,565,008 815,802 2000 147 71 248,397,371 3,498,555 1,689,778 2001 174 49 44,331,086 904,716 254,776 Total 920 378 1,093,235,315 2,892,157 1,188,299 This table only counts firm sales from the NRC Phase II Survey, question 4a. This table does not count reported sales by lincensee, or “other sales “4b for firms or lincensee. SOURCE: NRC Phase II Survey. TABLE App-A-33 Commercialization Lags Frequency by award year for companies still Time elapsed between award and sales expecting sales Elapsed Number Percentage of Year of Projects Historical Success Years of Projects Responding Projects Award Expecting Sales Percentage –10 1 0.3 1992 3 –6 1 0.3 1993 4 –4 2 0.5 1994 4 0.3 –3 1 0.3 1995 8 0.8 –2 6 1.6 1996 6 0.3 –1 14 3.7 1997 13 0.3 0 40 10.6 1998 18 2.4 1 65 17.2 1999 19 3.7 2 83 22.0 2000 32 4.8 3 80 21.2 2001 61 10.1 4 38 10.1 5 18 4.8 6 14 3.7 7 9 2.4 8 1 0.3 9 1 0.3 10 3 0.8 11 1 0.3 378 SOURCE: NRC Phase II Survey.

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0 APPENDIX A TABLE App-A-34 Type of Product Q10 How did you (or do you expect to) commercialize your SBIR award? Number of Responses Percentage 17 3.1 No commercial product, process, or service was/is planned 178 32.1 As software 334 60.3 As hardware (final product, component, or intermediate hardware product) 127 22.9 As process technology 102 18.4 As new or improved service capability 2 0.4 As a drug 2 0.4 As a biologic 86 15.5 As a research tool 11 2.0 As educational materials 54 9.7 Other, please explain 913 n=554 Responses to Question 10 of the Phase II survey 233 Respondents with multiple responses 321 Respondents with a single response 554 Total Responses Most Common Paired Responses 67 Paired Responses to (c) hardware and (d) process technology 53 Paired Responses to (c) hardware and (b) software 53 Paired Responses to (c) hardware and (e) new or improved service capability 48 Paired Responses to (c) hardware and (h) research tool 41 Paired Responses to (d) process technology and (e) new or improved service 35 Paired Responses to (b) software and (e) new or improved service capability 34 Paired Responses to (b) software and (h) research tool 34 Paired Responses to (e) new or improved service capability and (h) research tool 32 Paired Responses to (b) software and (d) process technology 27 Paired Responses to (d) process technology and (h) research tool SOURCE: NRC Phase II Survey.

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 APPENDIX A TABLE App-A-35 Sales by Number of Previous SBIR Awards Q19 How many SBIR awards did your company receive prior to the Phase I that led to this Phase II? Number of Responses by Reported Sales Additional $100K to $1M to $5M to Prior SBIRs $0 Total 0 118 34 57 35 11 1 256 46.1% 13.3% 22.3% 13.7% 4.3% 0.4% 1 48 7 10 8 3 0 76 63.2% 9.2% 13.2% 10.5% 3.9% 0.0% 2 39 8 16 12 2 0 77 50.6% 10.4% 20.8% 15.6% 2.6% 0.0% 3–5 68 10 30 17 6 2 133 51.1% 7.5% 22.6% 12.8% 4.5% 1.5% 6–10 51 7 14 13 5 0 90 56.7% 7.8% 15.6% 14.4% 5.6% 0.0% 11–15 18 1 4 5 5 0 33 54.5% 3.0% 12.1% 15.2% 15.2% 0.0% 16–25 23 1 7 5 5 0 41 56.1% 2.4% 17.1% 12.2% 12.2% 0.0% 26–50 24 6 7 7 3 0 47 51.1% 12.8% 14.9% 14.9% 6.4% 0.0% 51–100 22 1 4 1 0 0 28 78.6% 3.6% 14.3% 3.6% 0.0% 0.0% 101+ 36 3 10 2 0 0 51 70.6% 5.9% 19.6% 3.9% 0.0% 0.0% Total 447 78 159 105 40 3 832 53.7% 9.4% 19.1% 12.6% 4.8% 0.4% 832 answered either 4 or 19 (n=832) 88 did not answer 4 or 19 (due to not have Phase II done (43) or dropped out (45)) 920 Sales Reported (Percent) Additional $100K to $1M to $5M to Total Prior SBIRs 0 Responses 0 46.1 13.3 22.3 13.7 4.3 0.4 256 1 63.2 9.2 13.2 10.5 3.9 0.0 76 2 50.6 10.4 20.8 15.6 2.6 0.0 77 3–5 51.1 7.5 22.6 12.8 4.5 1.5 133 6–10 56.7 7.8 15.6 14.4 5.6 0.0 90 11–15 54.5 3.0 12.1 15.2 15.2 0.0 33 16–25 56.1 2.4 17.1 12.2 12.2 0.0 41 26–50 51.1 12.8 14.9 14.9 6.4 0.0 47 51–100 78.6 3.6 14.3 3.6 0.0 0.0 28 101+ 70.6 5.9 19.6 3.9 0.0 0.0 51 Total 53.7 9.4 19.1 12.6 4.8 0.4 832 SOURCE: NRC Phase II Survey.

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 APPENDIX A TABLE App-A-36 Additional Investment Additonal Investment/funding other than SBIR Any Investment Responses Percent 49.02174 Yes 451 52.9 No 402 47.1 43.69565 Total 853 100.0 920 Investment ≥ 1$M Responses Percent Yes 130 15.2 No 723 84.8 Total 853 100.0 Further Investment in SBIR Projects $50M+ 2 $106,700,000 0.2345 $5M to <$50M 32 $324,151,193 3.7515 $1M to <$5M 96 $202,819,919 11.254 $100K to <$1M 241 $90,112,919 28.253 <$100K 80 $3,291,603 9.3787 None 402 $0 47.128 Total Investments 853 $727,075,634 Percentage of all respondents 52.9% Average (all) $852,375 Average (with investment) $1,612,141 Any Additional Investments Any Investment Responses Percent Yes 801 93.8 No 53 6.2 Total 854 100.0 The above table looks for investment from questions 19, 20, 21, and 22 SOURCE: NRC Phase II Survey.

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 APPENDIX A TABLE App-A-37 Investment Sources Further Investments in SBIR Projects Total Average Investment Number of Investment Source of Investment ($) Percent Investments Percent ($) Non-SBIR Federal Funds 332,374,455 45.4 205 25.8 1,621,339 Private Investment from U.S. 155,768,006 21.3 30 3.8 5,192,267 Venture Capital Your Own Company 83,640,416 11.4 274 34.4 305,257 Private Investment from Other 71,066,831 9.7 55 6.9 1,292,124 Private Equity Private Investment from Other 52,602,991 7.2 105 13.2 500,981 Domestic Private Company Private Investment from 15,404,973 2.1 19 2.4 810,788 Foreign Investment Personal Funds 14,013,832 1.9 65 8.2 215,597 State or Local Government 5,536,863 0.8 31 3.9 178,608 Colleges or Universities 1,667,264 0.2 12 1.5 138,939 SOURCE: NRC Phase II Survey. TABLE App-A-38 Related SBIR Awards Additional SBIR Funding Number of Number of Phase II Awards Companies Percent 28 1 0.1 9 1 0.1 7 4 0.5 6 6 0.7 5 12 1.5 4 23 2.8 3 29 3.6 2 106 13.0 1 172 21.2 65 354 43.5 Total answering the question = 813 SOURCE: NRC Phase II Survey.

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TABLE App-A-39 Equity-related Activities  Equity-Related Activities U.S. Companies/Investors Foreign Companies/Investors All Companies/ Finalized Ongoing Total Finalized Ongoing Total Investors Activities (Percent) (Percent) (Percent) (Percent) (Percent) (Percent) (Percent) Licensing Agreement(s) 16 16 32 3 5 8 33.4 Sale of Company 1 5 6 0 1 1 6.3 Partial Sale of Company 1 4 5 0 1 1 5.3 Sale of Technology Rights 4 10 14 1 3 4 15.3 Company Merger 0 3 3 0 1 1 3.6 Joint Venture Agreement 4 8 12 1 2 3 13.4 Marketing/Distribution Agreement(s) 11 9 20 5 4 9 22.5 Manufacturing Agreement(s) 3 9 12 3 2 5 15.2 R&D Agreement(s) 14 14 28 3 3 6 28.3 Customer Alliance(s) 14 14 28 5 3 7 27.9 Other Specify____ 2 2 4 0 1 1 3.9 n=620 Responses to Question 12 of the Phase II survey Projects with at least one other company. Yes 67.0% 415 No 33.0% 204 Total 619 214 Projects discontinued with no sales (not asked Question 12) 43 Projects not finished with Phase II (not asked Question 12) 44 Projects dropped out of the survey before Question 12 920 SOURCE: NRC Phase II Survey.

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 APPENDIX A TABLE App-A-40 The “Go” Decision Counterfactual: Greenlighting the Project In the absence of the SBIR award, would the project have been implemented? Number of Responses Percent a 18 2.9 Definitely Yes b 62 10.0 Probably Yes c 107 17.3 Uncertain d 201 32.5 Probably Not e 230 37.2 Definitely Not 618 100.0 n=618 Responses to Question 13 of the Phase II survey SOURCE: NRC Phase II Survey. TABLE App-A-41 Patenting Activities Patents and Patent Applications Projects with Patent Projects with Patents Applications Awards Yes 281 34.4% 205 25.1% No 535 65.6% 611 74.9% 816 816 This data excludes respondents with projects not yet completing Phase II (Q1a) Number of Patents per Company, Responses (%) Responses Percent 1 patent 129 63 2 patents 43 21 3–5 patents 25 12 6–10 patents 4 2 11–20 patents 4 2 SOURCE: NRC Phase II Survey.

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 APPENDIX A TABLE App-A-42 Patents and Marketing Q18 Results 270 Projects with Some Patents, etc. 546 Projects with No Patents, etc. 816 346 Projects with Some Patent Attempts, etc. 470 Projects with No Patent Attempts, etc. 816 Patents, Copyrights, Trademarks, or Pending Patents, Copyrights, Trademarks Similar Items 614 of the 816 responses question 18 614 of the 816 responses question 18 responded responded to question 11 to question 11 Counts Counts 24.3 149 No Activity + No Marketing 21.5 132 No Pending + No Marketing 36.2 222 No Activity + Marketing 28.0 172 No Pending + Marketing 7.7 47 Activity + No Marketing 10.4 64 Pending + No Marketing 31.9 196 Activity + Marketing 40.1 246 Pending + Marketing 614 614 SOURCE: NRC Phase II Survey. TABLE App-A-43 Patents and Firm Size Firm Size at Survey Responses Patents Ratio 0–5 151 74 0.490066 6–10 107 57 0.53 11–15 85 31 0.36 16–20 54 20 0.37 21–25 50 25 0.50 26–30 37 24 0.65 31–40 33 23 0.70 41–50 59 34 0.58 51–75 67 69 1.03 76–100 35 7 0.20 101–200 85 18 0.21 201–300 19 4 0.21 301–500 31 12 0.39 500+ 6 0 0.00 SOURCE: NRC Phase II Survey.

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7 APPENDIX A TABLE App-A-44 Scientific Publications Developed as a Result of Phase II Project Number Submitted Number Published Scientific Publications 1,028 990 NOTE: Results for 816 respondents to survey question. SOURCE: NRC Phase II Survey, Question 18. TABLE App-A-45 University Involvement Q31 Any involvement by universities faculty, graduate students, and/or university developed technologies? Yes 212 No 625 Total 837 University Involvement in SBIR Projects 1.3% The Principal Investigator (PI) for this Phase II project was at the time of the project a faculty member. 1.3% The Principal Investigator (PI) for this Phase II project was at the time of the project an adjunct faculty member. 13.6% Faculty member(s) or adjunct faculty member(s) work on this Phase II project in a role other than PI, e.g., consultant. 11.4% Graduate students worked on this Phase II project. 9.2% University/college facilities and/or equipment were used on this Phase II project. 2.2% The technology for this project was licensed from a university or college. 3.9% The technology for this project was originally developed at a university or college by one of the participants in this Phase II project. 12.5% A university or college was a subcontractor on this Phase II project. n=837 SOURCE: NRC Phase II Survey.