Appendix C

2011 Survey Instrument

INTRODUCTION

Welcome to the National Academy SBIR Survey. Thank you for participating. This survey seeks responses related to the [Phase 1 or Phase II] project entitled [insert project title], funded by [insert agency name], at the following company [insert company name]. Funding was awarded in [insert FY].

Note: If you need to revisit the survey before finally completing it, you can return at the point you left off by clicking on the survey link in your email.

[Project title will be piped into the survey header throughout the survey]

PART 1. INFORMATION ABOUT YOU

This information is required only to determine your current status, and to ensure that we have accurate contact information. This information will be strictly private and will not be shared with any private entity or government agency.

1. For the project referenced above, were you (during the time period covered by this award) (select all that apply)
   1. Principal Investigator (PI) on this project
   2. Senior researcher (other than PI)
   3. the CEO
   4. not CEO but a senior executive with the company identified above
   5. None of the above (exit questionnaire)

PART 2. COMPANY INFORMATION SECTION

2. Have you already completed a questionnaire about another SBIR project for this National Academy survey related to [insert company name].

   [Yes/No. If yes, skip to Part 3]

3. Is [insert company name] still in business?

   [Yes/No]

4. Thinking about the number of founders of the company, what was…?
   1. The total number of founders [number box]
   2. The number of other companies started by one or more of the founders (before starting this one) [0,1,2,3,4,5 or more]
   3. The number of founders who have a business background [number box]
   4. The number of founders who have an academic background [number box]
   5. The number of founders with previous experience as company founders
5. What was the most recent employment of the company founders prior to founding the company? Select all that apply.
   1. Other private company
   2. Government
   3. College or University
   4. Other
6. Was the company founded because of the SBIR program?

   Yes

   No

   In part

7. What percentage of the company’s total R&D effort (man-hours of scientists and engineers) was for SBIR activities during the most recent fiscal year ___%

   0%

   1-10%

   11-25%

   26-50%

   51-75%

   76-100%

8. What was the company’s total revenue for the most recent fiscal year

   <100,000

   100,000-499,999

   500,000-999,999

   1,000,000-4,999,999

   5,000,000-19,999,999

   20,000,000-99,999,999

   100,000,000+

9. What percentage of the company’s revenues during its most recent completed fiscal year was Federal SBIR funding (Phase I and/or Phase II)

   0%

   1-10%

   11-25%

   26-50%

   51-75%

   76-99%

   100%

10. Which if any of the following has the firm experienced as a result of the SBIR program? Select all that apply.

    Made an initial public offering

    Planning to make an initial public offering in 2011-2012

    Established one or more spin off companies

    Been acquired by/merged with another firm

    None of the above

11. How many patents have resulted, at least in part, from the company’s SBIR awards [number box]
12. Does the company have one or more full time staff for marketing?

    [Yes/No]

    3. PI/SENIOR EXECUTIVE INFORMATION

13. Please verify or correct the following information about yourself. Please indicate any corrections in the boxes provided. If all this information is accurate, click “Next” to continue. [Information will be piped in from respondent database to pre-populate editable text fields]
    1. Last name
    2. First name
    3. Current email address
    4. Current work telephone number (for follow up questions if necessary)

14. The Principal Investigator for this [SBIR] Award was a (check all that apply) (3 part question—14a, 14b, 14c)
    1. Woman
    2. Minority
    3. For those checking minority PI, add drop down list from SBA

       Asian-Indian

       Asian-Pacific

       Black

       Hispanic

       American

       Other

15. At the time of the award, the age of the leading PI was

    [20-24, 25-29, 30-34, 35-39, 40-44, 45-49, 50-54, 55-59, 60-64, 65+]

16. What was the immigration status of the PI at the time of the award?

    American-born US citizen

    Naturalized US citizen

    US Green card

    H1 visa

    Other (please specify—box)

PART 4. POST-AWARD INFORMATION

17. Many agencies offer commercialization training in connection with SBIR awards. Did you (or another company staff member) participate in training related to this award?

    [Yes/No]

18. Number of company employees (including all affiliates)
    1. at the time of the award [pipe in award year] [Number box]
    2. Currently [Number box]
19. What was the ownership status of the company at the time of the award? (3 part question—19a, 19b, 19c)
    1. Woman-owned
    2. Minority-owned
    3. For those checking minority-owned, add drop down list from SBA

       Asian-Indian

       Asian-Pacific

       Black

       Hispanic

       American

       Other

PART 5. PROJECT STATUS INFORMATION

20. Please select the technology sector or sectors that most closely fit(s) the work of the SBIR project. Select all that apply.

    Aerospace

    Defense-specific products and services

    Energy and the environment

    Sustainable energy production (solar, wind, geothermal, bio-energy, wave)

    Energy storage and distribution

    Energy saving

    Other energy or environmental products and services

    Engineering

    Engineering services

    Scientific instruments and measuring equipment

    Robotics

    Sensors

    Other engineering

    Information technology

    Computers and peripheral equipment

    Telecommunications equipment and services

    Business and productivity software

    Data processing and database software and services

    Media products (including web-, print- and wireless-delivered content)

    Other IT

    Materials (including nanotechnology for materials)

    Medical technologies

    Pharmaceuticals

    Medical devices

    Other biotechnology products

    Other medical products and services

    Other (please specify—box)

21. Prior to this SBIR [Phase I/Phase II] award, did the company receive funds for research or development of the technology in this project from any of the following sources?
    1. Prior SBIR (Excluding the Phase I which preceded this Phase II.) [this parenthetical not shown to Phase Is]
    2. Prior non-SBIR federal R&D
    3. Venture capital
    4. Other private company
    5. Private investor (including angel funding)
    6. Internal company investment (including borrowed money)

1s continue/skip to question 30]

22. Did you experience a gap between the end of Phase I and the start of Phase II for this award? [P2 only]
    1. Yes Continue.
    2. No Skip to question 24
23. During the funding gap between Phase I and Phase II for this award, which of the following occurred? Select all answers that apply [P2 only]
    1. Stopped work on this project during funding gap.
    2. Continued work at reduced pace during funding gap.
    3. Continued work at pace equal to or greater than Phase I pace during funding gap.
    4. Received bridge funding between Phase I and II.
    5. Company ceased all operations during funding gap.
    6. Other [specify]
24. In your opinion, in the absence of this SBIR award, would the company have undertaken this project? [P2 only] Select one.
    1. Definitely yes
    2. Probably yes [If selected a or b, go to question 25]
    3. Uncertain
    4. Probably not
    5. Definitely not [If c, d or e, skip to question 27]
25. If you had undertaken this project in the absence of SBIR, this project would have been [P2 only]
    1. Broader in scope
    2. Similar in scope
    3. Narrower in scope
26. In the absence of SBIR funding… (please provide your best estimate of the impact) [P2 only]
    1. how long would the start of this project have been delayed? [text box - months]
    2. the expected duration/time to completion would have been…
       1. longer
       2. the same
       3. shorter

27. 3. in achieving similar goals and milestones, the project would be…
       1. ahead
       2. the same place
       3. behind
28. Did this award identify matching funds or other types of cost sharing in the Phase II Proposal? [P2 only]
    1. Yes.
    2. No. [If b, skip to question 30]
29. Matching or co-investment funding proposed for Phase II was received from (check all that apply). [P2 only]
    1. Our own company (includes borrowed funds).
    2. Federal non-SBIR funding.
    3. Another company.
    4. An angel or other private investment source.
    5. Venture capital.
    6. Other [specify]
30. How difficult was it for the company to acquire the funding needed to meet the matching funds requirements? [P2 only]
    1. No additional effort needed except paperwork
    2. Less than 2 weeks Full Time Equivalent (FTE) for senior company staff
    3. 2-8 weeks effort FTE for senior company staff
    4. 2-6 months of effort FTE for senior company staff
    5. More than 6 months of effort FTE for senior company staff
31. What is the current status of the project funded by the referenced award? Select the one best answer.
    1. Project has not yet completed SBIR funded research. Go to question 33.
    2. Efforts at this company have been discontinued. No sales or additional funding resulted from this project. Go to question 31.
    3. Efforts at this company have been discontinued. The project did result in sales, licensing of technology, or additional funding. Go to question 31.
    4. Project is continuing post-award technology development. Go to question 33.
    5. Commercialization is underway. Go to question 33.
    6. Products/Processes/Services are in use by target population/customer/consumers. Go to question 33.
    7. Products/Processes/Services are in use by population/customer/consumers not anticipated at the time of the award (for example, in a different industry). Go to question 33.

31. Did the reasons for discontinuing this project include any of the following?

    		Yes
    a.	Technical failure or difficulties	____
    b.	Market demand too small	____
    c.	Level of technical risk too high	____
    d.	Not enough funding	____
    e.	Company shifted priorities	____
    f.	Principal investigator left	____
    g.	Project goal was achieved (e.g. prototype delivered for federal agency use)	____
    h.	Licensed to another company	____
    i	Product, process, or service not competitive	____
    j.	Inadequate sales capability	____
    k.	Another firm got to the market before us	____
    l.	Failed to receive Phase II award funding	____
    m.	Other (please specify):	____

32. Which of these was the primary reason for discontinuing the project? (pipe in reasons marked “yes” in question 31 for respondents to choose from)

6. PROJECT OUTCOMES

33. Have you received or invested any additional developmental funding in this project since the SBIR award?
    1. Yes
    2. No [if no, skip to Q35]
34. To date, what has been the total additional developmental funding for the technology developed during this project? Enter dollars provided in drop down list provided for each of the listed sources below. [If none for a particular source, enter 0 (zero)]

    <100,000

    100,000-499,999

    500,000-999,999

    1,000,000-4,999,999

    5,000,000-9,999,999

    10,000,000-19,999,999

    20,000,000-49,999,999

    50,000,000+

35. Source of Developmental Funding Since Receiving SBIR Award

    1. Non-SBIR federal funds
    2. Private Investment
       1. U.S. venture capital
       2. Foreign investment
       3. Other Private equity (including angel funding)
       4. Other domestic private company
    3. Other sources
       1. State or local governments
       2. College or Universities
    4. Not previously reported
       1. Your own company (including money you have borrowed)
       2. Personal funds
36. Has the company and/or licensee had any actual sales of products, processes, services or other sales incorporating the technology developed during this project? Select all that apply.
    1. No sales to date nor are sales expected. Skip to question 38.
    2. No sales to date, but sales are expected. Skip to question 38.
    3. Sales of product(s)
    4. Sales of process(es)
    5. Sales of services(s)
    6. Other sales (e.g. rights to technology, licensing, etc.)

36a For the company and/or the licensee(s), when did the first sale occur resulting from the technology developed during [name of project]?

36b For the company and/or the licensee(s), what is the approximate amount of total sales dollars of product(s), process(es) or services to date resulting from the technology developed during the [name of project]?

For the company [Pulldown with choices: 0, < $100,000, $100,000-$499,999, $500,000-$999,999, $1,000,000-$4,999,999, $5,000,000-$9,999,999, $10,000,000-$19,999,999, $20,000,000-$49,999,999, $50,000,000+]

For any licensees [Pulldown with same choices]

36c For the company and/or the licensee(s), what is the approximate amount of other total sales dollars (e.g. rights to technology, sale of spin-off company, etc.) to date resulting from the technology developed during the [name of project]?

For the company [Pulldown with choices: 0, < $100,000, $100,000-$499,999, $500,000-$999,999, $1,000,000-$4,999,999, $5,000,000-$9,999,999, $10,000,000-$19,999,999, $20,000,000-$49,999,999, $50,000,000+]

For any licensees [Pulldown with same choices]

37. 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 required to add to 100%.
    1. Domestic private sector
    2. Department of Defense (DoD)
    3. NASA
    4. Prime contractors for DoD
    5. Prime contractor for NASA
    6. Agency that awarded the Phase II (if not NASA or DoD)
    7. Other federal agencies
    8. State or local governments
    9. Export Markets
    10. Other (Specify)_____________
38. As a result of the technology developed during this project, which of the following describes the company’s activities with other companies and investors? Select all that apply.

    	U.S. Companies/Investors		Foreign Companies/Investors
    Activities	Finalized Agreements	Ongoing Negotiations	Finalized Agreements	Ongoing Negotiations
    a. Licensing Agreement(s)
    b. Sale of Company
    c. Partial sale of Company
    d. Sale of technology rights
    e. Company merger
    f. Joint Venture agreement
    g. Marketing/distribution agreement(s)
    h. Manufacturing agreement(s)
    i. R&D agreement(s)
    j. Customer alliance(s)
    k. Other (specify) ___________

39. Please give the number of patents, copyrights, trademarks and/or scientific publications for the technology developed as a result of [name of project]. Enter numbers. If none, enter 0 (zero).

    Number Applied For/Submitted		Number Received/Published
    	Patents
    	Copyrights
    	Trademarks
    	Scientific Publications

40. How many SBIR awards has the company received that are related to the project/technology supported by this award?
    1. Number of related Phase I awards
    2. Number of related Phase II awards

I recipients skip to Q44

7. SBIR PROCESS AND RECOMMENDATIONS

41. In comparison to other Federal awards or Federal funding, how would you rate the process of applying for Phase II funding? Applying for Phase II funding was...” [Phase 2 only]
    1. Much easier than applying for other Federal awards
    2. Easier
    3. About the same
    4. More difficult
    5. Much more difficult
    6. Not sure, not applicable, or not familiar with other Federal awards or funding
42. How adequate was the amount of money you received through Phase II funding for the purposes you applied for? Was it.. [P2 only]
    1. More than enough
    2. About the right amount
    3. Not enough
43. Should the size of Phase II awards be increased even if that means a proportionately lower number of Phase II awards are made? [P2 only]
    1. Yes
    2. No
    3. Not sure

44. Overall, would you recommend that the SBIR program be...?
    1. Expanded (with equivalent funding taken from other federal research programs that you benefit from and value)
    2. Kept at about the current level
    3. Reduced (with equivalent funding applied to other federal research programs you benefit from and value)
    4. Eliminated (with equivalent funding applied to other federal research programs you benefit from and value)
45. To what extent did the SBIR funding significantly affect long term outcomes for the company?
    1. Had a negative long term effect
    2. Had no long term effect
    3. Had a small positive effect
    4. Had a substantial positive long term effect
    5. Had a transformative effect
46. Can you explain these impacts in your own words? [memo field]

8. WORKING WITH PROJECT MANAGERS

Project Managers take on different names at different agencies. At DoD they are called Technical Points of Contact (TPOCs); at NASA they are the Contracting Officer’s Technical Representative (COTR); at NSF they are the Program Officer. We use Project Manager in the questions below to refer to all of these.

47. How often did you engage with your Project Manager in the course of your award?
    1. weekly
    2. monthly
    3. quarterly
    4. annually
48. How valuable was your Project Manager on a scale of 1-5, with 1 being no help and 5 being invaluable.
49. How knowledgeable was your Project Manager about the SBIR program. Were they able to guide you effectively through the SBIR process?
    1. Not at all knowledgeable
    2. Somewhat knowledgeable
    3. Quite knowledgeable
    4. Extremely knowledgeable

Phase I recipients skip to Q53

50. On a scale of 1-5, with one being least and 5 being most, how much did your project manager help during the Phase II award in the following areas: [1-5 scale for each row] [P2 only]
    1. The Phase II application process
    2. Providing direct technical help
    3. Introducing us to university personnel that could contribute to the project
    4. Introducing us to other firms that could provide technical expertise
    5. Finding markets for our technology or products/services
51. How closely did you work with your Project Manager as you pursued Phase III funding? [P2 only]
    1. Not at all
    2. Not much
    3. We discussed the application in detail
    4. The officer provided a lot of guidance during the application process
    5. We did not apply for Phase III funding
52. How effective was the Project Manager in connecting the company to sources of Phase III funding (such as acquisition programs or venture/angel funding)? [1-4 scale] [P2 only]

    Very helpful

    Somewhat helpful

    Not very helpful

    Not at all helpful

53. How easy was it to reach your Project Manager when you had questions or concerns? (New) [1-4 scale]

    Very hard

    Hard

    Easy

    Very easy

54. Was your Project Manager replaced during the course of your award?

    [Yes/No]

55. How do you see the time allocated for your Project Manager to work on your project? [1-3 scale]

    Insufficient

    Sufficient

    More than sufficient

56. Deleted during final instrument review
57. Additional comments on working with your TPOC or Program Officer

    [memo field]

58. Is a Federal System or Acquisition Program using the technology from this award?

    Yes (go to question 59)

    No (skip to question 60)

59. If yes, please provide the name of the Federal system or acquisition program that is using the technology. ___________________
60. This question addresses any relationships between your firm’s efforts on this project and any University or College. Select all that apply.
    1. The PI for this project was at the time of the project a faculty member
    2. The PI for this project was at the time of the project an adjunct faculty member
    3. Faculty member(s) or adjunct faculty member(s) worked on this project in a role other than PI
    4. Graduate students worked on this project
    5. The technology for this project was licensed from a University or College
    6. The technology for this project was originally developed at a University of College by one of the participants in this project
    7. A University or College was a subcontractor on this project
    8. None of the above

If any of these are checked (other than “none of the above”), continue to 60a; else skip to Q61 [if you do not check a-g, you should skip 60a as well]

60a. Which university (or universities) worked with your firm on this project?

61. Other comments on your experience with SBIR [memo field]