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Appendixes

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Suggested Citation: "Appendix A: NSF SBIR Program Data." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.

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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Suggested Citation: "Appendix A: NSF SBIR Program Data." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.

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

Page 193 Cite Bookmark

Suggested Citation: "Appendix A: NSF SBIR Program Data." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.

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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Suggested Citation: "Appendix A: NSF SBIR Program Data." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.

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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Suggested Citation: "Appendix A: NSF SBIR Program Data." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.

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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Suggested Citation: "Appendix A: NSF SBIR Program Data." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.

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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Suggested Citation: "Appendix A: NSF SBIR Program Data." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.

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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Suggested Citation: "Appendix A: NSF SBIR Program Data." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.

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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Suggested Citation: "Appendix A: NSF SBIR Program Data." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.

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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Suggested Citation: "Appendix A: NSF SBIR Program Data." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.

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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Suggested Citation: "Appendix A: NSF SBIR Program Data." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.

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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Suggested Citation: "Appendix A: NSF SBIR Program Data." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.

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

Page 203 Cite Bookmark

Suggested Citation: "Appendix A: NSF SBIR Program Data." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.

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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Suggested Citation: "Appendix A: NSF SBIR Program Data." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.

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