Appendixes



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Appendixes

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Appendix A NIH 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 re- calculate 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. 7

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7 APPENDIX A 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)

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7 APPENDIX A TABLE App-A-1 Applications: Phase I and Phase II, 1992-2005 Phase I Phase II All Total Success All Total Success Fiscal Applications Funded Rate Fiscal Applications Funded Rate Year (#) (#) (%) Year (#) (#) (%) 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.

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TABLE App-A-2 Phase I Applications by IC, 1992-2004 7 Number of Applications IC 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

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Percentage of All Applications IC 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. 7

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TABLE App-A-3 Applications by IC—Phase II, 1992-2004 7 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

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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. 77

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7 APPENDIX A TABLE App-A-4 Woman- and Minority-owned Firms—Application Shares, 1992-2006 (percent of all applications) Woman-owned Firms Minority-owned Firms Fiscal Phase I Phase II All Fiscal Phase I Phase II All Year (%) (%) (%) Year (%) (%) (%) 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-5 Woman- and Minority-owned Firms—Award Shares, 1992- 2006 (percent of all awards) Woman-owned Firms Award Minority-owned Firms Award Share (%) Share (%) Fiscal Fiscal Year Phase I Phase II Total Year 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.

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TABLE App-A-6 Woman- and Minority-owned Firms—Success Rates, 1992-2006 (percent) Woman-owned Firms Other Small Businesses Minority-owned Firms Success Rate (%) Success Rate (%) Success Rate (%) Fiscal Fiscal Fiscal Year Phase I Phase II All Year Phase I Phase II All Year 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 7

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0 APPENDIX A TABLE App-A-48 Continued Phase II Awards All Awards Number First Start of of NIH Phase II Latest Phase II Total SBIR Company Name Funded Phase II Awards Funding ($) OSI Pharmaceuticals, Inc. 5/1/1990 2/1/1997 10 8,563,722 Photon Imaging Corporation 4/1/1995 7/1/2001 7 7,889,307 Physical Optics Corporation 2/15/1993 9/30/2001 10 9,782,753 Physical Sciences, Inc. 3/1/1990 3/15/2003 11 8,175,374 Progenics Pharmaceuticals, Inc. 9/1/1991 9/30/1996 5 14,190,507 RiboGene, Inc. 8/1/1994 9/30/1996 4 3,727,127 Scios Nova, Inc. 1/5/1992 11/1/1997 4 2,704,476 Spencer Technologies 9/1/1992 8/1/2000 4 3,334,165 Spire Corporation 9/25/1989 2/15/2002 8 7,514,150 State of The Art, Inc. 8/23/1993 9/14/2000 8 8,231,063 Stratagene Cloning Systems 7/1/1991 4/7/1997 6 4,754,214 Talaria Holdings, LLC 7/12/1996 7/1/2001 8 7,068,657 Third Wave Technologies, Inc. 4/1/1993 9/25/2001 5 3,778,257 Transoma Medical, Inc. 4/1/1996 3 3,384,761 // Valentis 3/26/1993 3/1/1997 4 3,350,068 Volumetrics Medical Imaging 8/1/1993 6/1/2000 3 2,432,255 271 272,332,457 VC Funding Most Recent Number Total Funding Company Name 1st Round Round of Rounds ($) 10/30/2002 Aastrom Biosciences, 8/18/1989 8 36,385,000 (FKA: Inc. Ann Arbor Stromal, Inc.) Abiomed, Inc. 12/1/1984 12/1/1984 1 3,000,000 (FKA: Applied Biomedical Corp.) 5/1/2003 Ambion, Inc. 5/1/2003 1 10,500,000 Biomedical 10/1/1987 10/1/1987 1 150,000 Development Corporation Cambridge 1/1/1986 6/21/1997 9 35,879,000 (FKA: Neuroscience, Inc. Synax, Inc.) 11/30/2000 Cengent Therapeutics, 1/11/1996 5 47,350,000 Inc.

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 APPENDIX A TABLE App-A-48 Continued VC Funding Most Recent Number Total Funding Company Name 1st Round Round of Rounds ($) 11/2/2001 Centaur 12/1/1992 7 26,561,000 Pharmaceuticals, Inc. 3/27/2002 Conductus, Inc. 9/1/1987 6 45,700,000 Corixa Corporation 12/2/1994 10/2/1997 3 59,330,000 Cortechs Labs, Inc. 1/9/1987 11/23/1992 4 51,000,000 Cubist Pharmaceuticals, 9/1/1992 9/23/1998 5 36,283,000 Inc. Cytel 8/1/1987 11/22/1991 4 68,000,000 2/14/2000 Diversa 12/1/1994 5 210,200,000 (FKA: Recombinant BioCatalysis, Inc.) 8/30/2001 EKOS Corporation 10/1/1996 5 42,900,000 6/20/2003 Electro-Optical 1/15/1986 8 32,440,000 Sciences, Inc. Epoch Biosciences 3/1/1986 7/1/1993 13 29,980,000 (FKA: MicroProbe Corporation) Exocell, Inc. 3/1/1988 3/1/1988 1 900,000 Foster Miller 1/1/80 1/1/80 1 750,000 Genaissance 4/1/1998 5/22/2000 7 73,522,000 Pharmaceuticals, Inc. 4/1/95 GenPharm International, 12/3/88 9 40,100,000 Inc. Gliatech, Inc. 7/1/1988 6/1/1995 7 32,596,000 6/6/2003 Hawaii Biotech, Inc. 6/7/2002 2 7,300,000 IDEC Pharmaceuticals 5/1/1986 2/1/1990 4 43,870,000 Corporation Illumina, Inc. 11/30/1998 11/1/1999 2 36,567,000 9/24/2003 Immusol, Inc 6/1/2001 2 23,500,000 3/31/2004 Inotek Pharmaceuticals 3/31/2004 1 20,000,000 Corporation Invitrogen Corporation 6/20/1997 6/20/1997 1 15,000,000 Isis Pharmaceuticals 2/1/1989 8/11/1994 6 17,490,000 Martek Bioscience 1/15/1986 11/23/1993 5 22,750,000 Corporation Medical Physics 12/30/1991 12/30/1991 1 20,000 Colorado Medimmune, Inc. 5/1/1988 12/9/1991 5 143,850,000 continued

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 APPENDIX A TABLE App-A-48 Continued VC Funding Most Recent Number Total Funding Company Name 1st Round Round of Rounds ($) 10/1/1993 Meridian Instruments, 5/1/1983 4 3,557,000 Inc. Micronix Corporation 5/1/1981 7/1/1987 15 76,598,000 Neurocrine Biosciences, 9/25/1992 5/23/1996 12 43,000,000 Inc. Nimbus Medical, Inc. 7/1/1986 3/1/1987 2 5,598,000 OSI Pharmaceuticals, 3/1/1988 3/1/1988 1 4,000,000 Inc. Photon Imaging 9/1/1983 9/1/1983 1 750,000 Corporation Physical Optics 8/1/1987 8/1/1990 4 3,337,000 Corporation Physical Sciences, Inc. 5/9/1995 7/1/1995 2 492,000 Progenics 1/1/1995 12/1/1995 1 5,670,000 Pharmaceuticals, Inc. 2/1/1997 RiboGene, Inc. 1/1/1990 14 43,577,000 Scios Nova, Inc. 6/1/1982 6/1/1982 1 5,425,000 Spencer Technologies 7/1/1997 7/1/1997 1 435,000 Spire Corporation 11/1/1979 1/1/1987 3 3,750,000 State of The Art, Inc. 9/1/1983 1/1/1986 2 3,400,000 Stratagene Cloning 4/1/1987 12/31/1992 2 1,873,000 Systems Talaria Holdings, LLC 1/1/2001 4/1/2001 2 28,673,000 Third Wave 6/30/1995 7/26/2000 5 78,064,000 Technologies, Inc. 2/5/2002 Transoma Medical, Inc. 2/5/2002 1 12,075,000 10/1/2002 Valentis 8/12/1993 6 47,405,000 6/27/2003 Volumetrics Medical 1/1/1995 6 10,706,000 Imaging 224 1,592,258,000 Legend 34 First VC funding before first SBIR P2 bold 17 Last VC funding after start of latest SBIR P2 6 First VC funding after last start date for SBIR P2 italics SOURCE: National Institutes of Health; Thomson Financial, VentureSource, and RDNA databases.

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 APPENDIX A TABLE App-A-49 Knowledge Effects Q32—Patents Q32 Text: Number of Number of Number of Patents Patents Responses Percent related to this project 1 158 55.1 2 63 22.0 3-5 44 15.3 6-10 18 6.3 752 11-20 3 1.0 287 >21 1 0.3 287 100.0 Q32—Copyrights Q32 Text: Number of Number of Number of copyrights Copyrights Responses Percent related to this project 1 86 57.7 2 17 11.4 3-5 33 22.1 6-10 9 6.0 11-20 3 2.0 >21 1 0.7 149 100.0 SOURCE: National Institutes of Health, National Surey to Ealuate the NIH SBIR Program: Final Report, July 2003. TABLE App-A-50 Further Related Investments by Size of Investment Number of Investments Total Investment by by Size of Investment Size of Investment ($) DoD data DoD data $50M+ 1 77,000,000 $5M-<$50M 3 32,329,122 $1M-<$5M 36 80,492,819 <$1M 180 38,637,715 None 721 0 Total investments 220 228,459,656 Percent of all respondents 24.4 Average (all) 253,562 Average (with investment) 1,038,453 SOURCE: DoD Commercialization Database.

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 APPENDIX A TABLE App-A-51 Distribution of Sales Responses Sales Number of Responses Percent <$50K 54 26.0 $50K-<$100K 32 15.4 $100K-<$500K 68 32.7 $500K-<$1M 25 12.0 $1M-<$5M 22 10.6 $5M-<$50M 6 2.9 $50M+ 1 0.5 584 SOURCE: DoD Commercialization Database. TABLE App-A-52 Patents by Size of Company (employees) Sum of Responses, By Number of Patents Company Total Total Size 1 2 3 4 5 6 7 8 9 10 14 15 18 38 Responses Patents 0-5 60 25 8 61 1 101 172 6-10 25 12 8 2 1 1 49 103 11-15 15 3 1 1 1 1 22 47 16-20 6 3 2 21 1 2 17 57 21-25 6 4 1 11 17 26-30 6 1 7 20 31-40 31 1 1 6 16 41-50 631 10 15 51-75 51 1 7 11 101-200 923 2 1 1 18 94 201-300 522 1 1 1 12 38 301-500 1 1 2 7 500 plus 1 11 1 1 5 19 Total 147 58 27 12 4 3 4 3 1 4 1 1 1 1 267 616 responses All Number of Patenting Number Patents per Company Size Companies (#) Companies of Patents Company 0-5 259 101 172 0.7 6-10 124 49 103 0.8 11-15 67 22 47 0.7 16-20 35 17 57 1.6 21-25 22 11 17 0.8 26-30 31 7 20 0.6 31-40 19 6 16 0.8 41-50 31 10 15 0.5 51-75 20 7 11 0.6 101-200 37 18 94 2.5 201-300 26 12 38 1.5 301-500 14 2 7 0.5 500 plus 22 5 19 0.9 All 707 267 616 0.9 NOTE: Company = Award in this case. SOURCE: National Institutes of Health, National Surey to Ealuate the NIH SBIR Program: Final Report, July 2003

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TABLE App-A-53 Customer Satisfaction Survey Number of Responses Completely Mostly Mostly Completely Total Satisfied Satisfied Mixed Dissatisfied Dissatisfied Not Applicable Responses Obtaining information 446 268 37 2 6 759 Instructions 368 305 69 8 2 6 758 Review process 240 320 159 31 5 4 759 Award process 316 319 91 18 7 5 756 Post-award admin 377 269 75 19 5 11 756 Staff helpfulness missing data Business support missing data Other missing data Percentage of Total Responses Completely Mostly Mostly Completely Total Satisfied Satisfied Mixed Dissatisfied Dissatisfied Not Applicable Responses Obtaining information 58.8 35.3 4.9 0.3 0.0 0.8 100.0 Instructions 48.5 40.2 9.1 1.1 0.3 0.8 100.0 Review process 31.6 42.2 20.9 4.1 0.7 0.5 100.0 Award process 41.8 42.2 12.0 2.4 0.9 0.7 100.0 Post-award admin 49.9 35.6 9.9 2.5 0.7 1.5 100.0 Staff helpfulness missing data Business support missing data Other missing data SOURCE: National Institutes of Health, National Surey to Ealuate the NIH SBIR Program: Final Report, July 2003. 

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 APPENDIX A TABLE App-A-54 FDA Approval Percent of Responding Projects Approval Stage which Require FDA Approval Applied for approval 5.0 Review ongoing 3.0 Approved 38.5 Not Approved 6.5 IND: Clinical trials 16.0 Other 32.0 SOURCE: NRC Phase II Survey. TABLE App-A-55 Sales by Dependence on SBIR Percent of Firm Revenues that Come from SBIR (Number of responses in each percent range) Firm Revenues 0 1-10% 11-25% 26-50% 51-75% 76-100% Total Responses 0 31 41 2 2 2 14 92 <$100K 12 15 7 16 14 29 93 $100K-<$500K 10 16 7 9 18 25 85 $500K-<$1M 28 33 17 28 21 32 159 $1M-<$5M 13 26 3 10 20 2 74 $5M-<$20M 2 21 5 2 2 0 32 $20M-<$100M 0 3 0 1 0 0 4 $100M+ 2 2 0 0 0 0 4 Total 98 157 41 68 77 102 543 NOTE: These data are for all agencies, not NIH-specific. SOURCE: NRC Firm Survey. TABLE App-A-56 Company-level Activities U.S. Companies/ Foreign Companies/ Investors Investors Finalized Ongoing Total Finalized Ongoing Total Activities (%) (%) (%) (%) (%) (%) Licensing Agreement(s) 19 16 35 9 6 15 Sale of Company 1 4 5 0 1 1 Partial sale of Company 2 4 6 0 1 1 Sale of technology rights 6 7 13 1 1 2 Company merger 0 3 3 0 1 1 Joint Venture agreement 3 9 12 1 3 4 Marketing/distribution agreement(s) 21 10 31 12 6 18 Manufacturing agreement(s) 7 4 11 2 2 4 R&D agreement(s) 15 11 26 4 3 7 Customer alliance(s) 8 10 18 3 1 4 Other Specify____________ 2 2 4 0 1 1 SOURCE: NRC Phase II Survey.

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7 APPENDIX A TABLE App-A-57 Sales by Size of Reported Revenues NRC Percent of Those Percent of All Revenues Responses with Sales Responses <$1M 147 72.8 29.6 >$1M to <$5M 39 19.3 7.9 >$5M to <$10M 8 4.0 1.6 >$10M to <$50M 7 3.5 1.4 >$50M 1 0.5 0.2 Reporting Sales Total 202 All Responses 496 Percent Reporting Sales 40.7 SOURCE: NRC Phase II Survey. TABLE App-A-58 Change in Employment Caused by SBIR Change in Employment Number of Responses Percent <0 63 39.7 0 40 11.6 1-10 123 6.1 11-25 36 1.9 26-50 19 1.0 50-75 6 4.8 76-99 3 1.3 101-250 15 0.3 251-500 4 100.0 +>500 1 0.0 310 SOURCE: NRC Phase II Survey. TABLE App-A-59 Sales Expectations Sales Expectations Number of Responses Percent of Responses Sales expected 95 19.2 Sales not expected 32 6.5 Sales 226 45.6 No response 143 28.8 Total responses 353 All responses to survey 496 SOURCE: NRC Phase II Survey.

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 APPENDIX A TABLE App-A-60 Sales by Licensees Revenues Reported for Licensee Number of Responses <$1M 39 $1M-<$5M 5 $5M-<$50M 5 $50M+ 3 Total 52 All responses 496 NOTE: These data are as reported by the recipient, not the licensee. SOURCE: NRC Phase II Survey. TABLE App-A-61 Additional Investment Dollars (For projects receiving additional investment). Total Average Investment Number of Investment Source of Investment ($) Percent Investments Percent ($) Private investment from U.S. venture 154,617,045 33.9 15 3.9 10,307,803 capital Private investment from other 141,992,212 31.1 40 10.4 3,549,805 private equity Private investment from foreign 39,616,075 8.7 12 3.1 3,301,340 investment Private investment from other 21,624,866 4.7 31 8.1 697,576 domestic private company Your own company 82,118,851 18.0 188 49.1 436,802 State or local government 6,290,000 1.4 23 6.0 273,478 Personal funds 9,850,408 2.2 67 17.5 147,021 College or universities 236,500 0.1 7 1.8 33,786 Total 456,345,957 100.0 383 100.0 1,191,504 SOURCE: NRC Phase II Survey. TABLE App-A-62 The “Go” Decision In the absence of this SBIR award, would your company have undertaken this project? Definitely yes 5% Probably yes 8% Uncertain 14% Probably not 28% Definitely not 46% SOURCE: NRC Phase II Survey.

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 APPENDIX A TABLE App-A-63 Patents and Publications Patent applications and awards Applications Awarded Number Percent Number Percent No 249 58.7 280 66.0 Yes 175 41.3 144 34.0 Total Responses 424 100.0 424 100.0 Publications Number of Publications Number of Responses Total Number of Publications 1 72 72 2 52 104 3 32 96 4 19 76 5 15 75 6-10 15 133 11-30 9 146 30+ 7 420 Totals 236 1,122 SOURCE: NRC Phase II Survey.

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0 APPENDIX A TABLE App-A-64 Time to Market Number of Years to Market Number of Projects Percent of Projects –11 1 0.4 –7 1 0.4 –4 1 0.4 –3 4 1.8 –2 6 2.7 –1 9 4.0 0 18 8.0 1 29 12.9 2 50 22.3 3 48 21.4 4 26 11.6 5 17 7.6 6 8 3.6 7 3 1.3 8 1 0.4 9 2 0.9 224 Award Year All Respondents Sales No Sales Yet Years Since Award 1992 21 10 11 13 1993 34 14 20 12 1994 27 10 17 11 1995 32 17 15 10 1996 35 15 20 9 1997 59 25 34 8 1998 57 29 28 7 1999 81 44 37 6 2000 63 26 37 5 2001 87 34 53 4 NOTE: Negative answers are possible if the research represents enhancement of an existing product. SOURCE: NRC Phase II Survey.