Appendix D

2010 Phase IIB Survey Instrument

INTRODUCTION

Dear colleagues,

Thank you for participating in this survey. Please answer these questions from the perspective of the firm mentioned in the email inviting your participation, even if you are no longer with that firm. If you are unable to do this, please do not answer the survey.

With your help, we can gather information that will better inform policy makers’ choices here in Washington thereby enabling us to maintain and strengthen the SBIR program at NSF.

Please note that the individual details of your survey response will be kept strictly confidential by the National Academies, and will not be shared with NSF, SBA, or any other government (or nongovernmental) agency.

Thank you for responding to our request. If you have any questions, please do not hesitate to contact me directly.

Dr. Charles Wessner

NRC Study Director

202-334-3801

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—including NSF.

1. Please provide the following information.

   Last name: _________________________

   First name: _________________________

   Name of your current employer: _________________________

   Your current position: _________________________

   Current email address: _________________________

   Current work telephone number (for follow up questions if necessary): _________________________

2. Which of the following describes your position on this project during the time period covered by this award? (If you were a Principal Investigator (PI), please select PI as your response even if you held other positions as well.)

   [ ]  Principal Investigator

   [ ]  CEO

   [ ]  Other senior executive

   [ ]  None of the above

3. Is the company still in business?

   [ ]  Yes

   [ ]  No

4. Thinking about the number of founders of your company, what was...

   the total number of company founders: _________________________

   the number of founders with university backgrounds: _________________

   the number of founders with business background: ___________________

   the number of founders with previous experience as company founders:

5. What was total company revenue for the Awardee company during the most recent year (in dollars)?

   [ ]  Under $100,000

   [ ]  $100,000 to < $500,000

   [ ]  $500,000 to

   [ ]  $1 million to

   [ ]  $5 million to

   [ ]  $20 million to

   [ ]  $100 million or more

6. At the time of the award, what was the ownership status of the company? (check all that apply)
   The company was...

   [ ]  Woman owned

   [ ]  Minority owned

7. What is the current status of the project funded by the referenced SBIR award? Select the one best answer.

   [ ]  Project has not yet completed Phase II

   [ ]  Efforts at this company have been discontinued

   [ ]  Project is continuing post Phase II technology development

   [ ]  Commercialization is underway

   [ ]  Products/Processes/Services are in use by target population/customer/consumers

Discontinued Projects only:

8. Did the reasons for discontinuing this project include any of the following?
   Select all that apply.

   [ ]  Technical failure or difficulties

   [ ]  Market demand too small

   [ ]  Level of technical risk too high

   [ ]  Not enough funding

   [ ]  Company shifted priorities

   [ ]  Principal investigator left

   [ ]  Project goal was achieved (e.g. prototype delivered for federal agency use)

   [ ]  Licensed to another company

   [ ]  Product, process, or service not competitive

   [ ]  Inadequate sales capability

   [ ]  Other (please specify)

Discontinued Projects only:

9. Which of these was the primary reason for discontinuing the project?

   [ ]  Technical failure or difficulties

   [ ]  Market demand too small

   [ ]  Level of technical risk too high

   [ ]  Not enough funding

   [ ]  Company shifted priorities

   [ ]  Principal investigator left

   [ ]  Project goal was achieved (e.g. prototype delivered for federal agency use)

   [ ]  Licensed to another company

   [ ]  Product, process, or service not competitive

   [ ]  Inadequate sales capability

   [ ]  Other (please specify)

Active Projects only:

10. Has your company and/or licensee had any actual sales of products, processes, services or other sales incorporating the technology developed during this project?
    Select one.

    [ ]  No sales to date nor are sales expected

    [ ]  No sales to date, but sales are expected

    [ ]  Sales of product(s), process(es), services(s) or other sales (e.g. rights to technology, licensing, etc.)

Projects with anticipated sales only

11. You indicated that you have had no sales to date resulting from the technology developed during this project. In what year do you expect the first sales for your company? _________________________

Active Projects with Sales

12. In what year did the first sale occur? _________________________
13. What is the approximate amount of total sales resulting from the technology developed during this project? If multiple SBIR awards contributed to the ultimate commercial outcome, report only the share of total sales appropriate to this SBIR project. Enter approximate dollars. If none, enter 0 (zero).

    13.1.   Total Sales Dollars of Product(s) and/or Process(es) or Service(s) to date?: _________________________

    13.2.   Other Revenues (e.g., Rights to technology, Sale of spin off company, etc.) to date: _________________________

Projects with Sales

14. To date, approximately what percent of total sales from the technology developed during this project have gone to the following customers? Round percentages to nearest whole number. Answers must add to 100%.
    ________Domestic private sector
    ________Department of Defense (DoD)
    ________Prime contractors for DoD or NASA
    _______NASA
    _______NSF
    ________Other federal agencies
    ________State or local governments
    ________Export Markets
    ________Other type of customers
15. As a result of the technology developed during this project, which of the following describes your company’s activities with other companies and investors? Select all that apply.

    	Finalized Agreements with US Partners	Ongoing Negotiations with US Partners	Finalized Agreements with Foreign Partners	Ongoing Negotiations with Foreign Partners
    Licensing Agreement(s)	[ ]	[ ]	[ ]	[ ]
    Sale of Company	[ ]	[ ]	[ ]	[ ]
    Partial sale of Company	[ ]	[ ]	[ ]	[ ]
    Sale of technology rights	[ ]	[ ]	[ ]	[ ]
    Company merger	[ ]	[ ]	[ ]	[ ]
    Joint Venture agreement	[ ]	[ ]	[ ]	[ ]
    Marketing/distribution agreement(s)	[ ]	[ ]	[ ]	[ ]
    Manufacturing agreement(s)	[ ]	[ ]	[ ]	[ ]
    R&D agreement(s)	[ ]	[ ]	[ ]	[ ]
    Customer alliance(s)	[ ]	[ ]	[ ]	[ ]

16. Employee information. Enter number of employees. You may enter fractions of full time effort (e.g. 1.2 employees). Please include both part time and full time employees, and consultants, in your calculation.

    16.1.   Number of employees (if known) when Phase II proposal was submitted: _________________________

    16.2.   Current number of employees: _________________________

    16.3.   Number of current employees who were hired as a result of the technology developed during this Phase II project: _________________________

17. 16.4.   Number of current employees who were retained as a result of the technology developed during this Phase II project: _________________________

18. The Principal Investigator for this Phase II Award was a... (check all that apply or none)
    [ ] Woman
    [ ] Minority
19. Please give the number of patents applied for and received based on the technology developed as a result of this project. Enter numbers. If none, enter 0 (zero).

    18.1.   Patents applied for: _________________________

    18.2.   Patents received: _________________________

20. Please give the number of copyrights applied for and received based on the technology developed as a result of this project. Enter numbers. If none, enter 0 (zero).

    19.1.   Copyrights applied for: _________________________

    19.2.   Copyrights received: _________________________

21. Please give the number of trademarks applied for and received based on the technology developed as a result of this project. Enter numbers. If none, enter 0 (zero).

    20.1.   Trademarks applied for: _________________________

    20.2.   Trademarks received: _________________________

22. Please give the number of peer reviewed scientific publications published for the technology developed as a result of this project. Enter numbers. If none, enter 0 (zero). __________________________________________
23. Have you received or invested any additional developmental funding in this project (beyond funding used to as a match for Phase IIB, which is considered later)?
    [ ] Yes
    [ ] No

23. To date, what has been the total additional developmental funding (excluding Phase IIB) for the technology developed during this project?
    Enter dollars provided by each of the listed sources.
    Non-SBIR federal funds: _________________________
    U.S. venture capital: _________________________
    Foreign sector investment: _________________________
    Other private equity: _________________________
    Other domestic private company: _________________________
    State or local governments: _________________________
    College or universities: _________________________
    Your own company (including money you have borrowed): ______________
    Personal funds: _________________________
24. Did you experience a funding gap between Phase I and Phase II for this award?
    [ ] Yes
    [ ] No
25. During your funding gap between Phase I and Phase II for this award, how did your firm respond? Please select all answers that apply.
    [ ] Stopped work on this project during funding gap.
    [ ] Continued work at reduced pace during funding gap.
    [ ] Continued work at pace equal to or greater than Phase I pace during funding gap.
    [ ] Received bridge funding between Phase I and II.
    [ ] Company ceased all operations during funding gap.
26. In executing this award, was there any involvement by university faculty, graduate students, and/or university developed technologies?
    [ ] Yes
    [ ] No

27. This question addresses any relationships between your firm’s efforts on this Phase II project and any University(ies) or College(s). Select all that apply.

    [ ]  The Principal Investigator (PI) for this Phase II project was at the time of the project a faculty member.

    [ ]  The Principal Investigator (PI) for this Phase II project was at the time of the project an adjunct faculty member.

    [ ]  Faculty member(s) or adjunct faculty member (s) worked on this Phase II project in a role other than PI, e.g., consultant.

    [ ]  Graduate students worked on this Phase II project.

    [ ]  University/College facilities and/or equipment were used on this Phase II project.

    [ ]  The technology for this project was licensed from a University or College.

    [ ]  The technology for this project was originally developed at a University or College by one of the recipients in this Phase II project.

    [ ]  A University or College was a subcontractor on this Phase II project.

28. Did your company apply for NSF SBIR Phase IIB matching funds for this project? Phase IIB is a separate application for funding, for which the applicant must show matching funds as defined by NSF. Only Phase II awardees can apply.

    [ ]  Yes, we applied for and received Phase IIB funding.

    [ ]  Yes, we applied for, but did not receive Phase IIB funding.

    [ ]  No, we did not apply.

29. You have indicated that your company did not apply for NSF SBIR Phase IIB funding. Why? Check all that apply.

    [ ]  Not aware of the program.

    [ ]  Unable to raise matching funds.

    [ ]  Could not raise matching funds that qualified.

    [ ]  Not enough funding to be worthwhile.

    [ ]  Process too onerous.

    [ ]  Other (please specify)

30. You have indicated that you applied for but did not receive Phase IIB funding from NSF. Why do you believe your application was rejected? ____________________________________________

31. What was the total amount of NSF matching funds provided for your (NSF) SBIR Phase IIB matching funds project? And what was the total amount of investment and funding you found as your part of the match (in dollars)?

    31.1.   NSF funding: _________________________

    31.2.   Your funding: _________________________

32. What sources of matching funds were used for this award? Please specify the approximate percentage of funds that came from each source (must add to 100%).
    _______US venture capital
    _______US angel investment
    _______Another US company
    _______Sales
    _______Other internal company resources
    _______Federal agency funding
    _______State agency funding
    _______Foreign funder(s)
33. What best describes your relationship with your funding source(s) for the matching funds for Phase IIB? Select any that apply.

    [ ]  A long time sponsor or vendor relationship

    [ ]  A long time technical partner

    [ ]  A long time purely financial partner or investor

    [ ]  A new financial partner or investor

    [ ]  Other (please specify)

34. Which of the following did you have to give up to acquire the necessary matching funds? Select any that apply.

    [ ]  Nothing

    [ ]  Some equity resulting in dilution

    [ ]  Significant equity and influence on company policy by a third party

    [ ]  A loan repayment agreement

    [ ]  Access to your intellectual property

    [ ]  Effective control of the company

    [ ]  First refusal options

    [ ]  Marketing and/or licensing options

    [ ]  Other (please specify)

35. Did Phase IIB funding accelerate or otherwise make a significant difference in bringing the product or service funded to market?

    [ ]  Yes

    [ ]  No

    [ ]  Too early to tell

    [ ]  Other (please specify)

36. In what ways did Phase IIB funding make a difference in your ability to bring the funded product or service to market?
    ____________________________________________
    ____________________________________________
    ____________________________________________
    ____________________________________________
37. To what extent did the Phase IIB funding significantly affect long term outcomes for the company?

    [ ]  Had a negative long term effect

    [ ]  Had no long term effect

    [ ]  Had a small positive effect

    [ ]  Had a substantial positive long term effect

    [ ]  Had a transformative effect

38. Did the Phase IIB bring investment into the company that would not otherwise have been brought in?

    [ ]  Yes

    [ ]  No

    [ ]  Too early to tell

    [ ]  Other (please specify)

39. How much investment (in dollars) was obtained by your company strictly as a direct result of your participation in the Phase IIB process and program (i.e. money that would not have otherwise been brought in)? ____________________________________________
40. How difficult was it for the company to acquire the funding needed to meet the NSF Phase IIB matching funds requirement?

    [ ]  No additional effort needed except paperwork

    [ ]  Some additional effort, but less than 2 weeks Full Time Equivalent (FTE) for senior company staff

    [ ]  Somewhat difficult: 2-8 weeks effort FTE for senior company staff

    [ ]  Quite difficult: 2-6 months of effort FTE for senior company staff

    [ ]  Very difficult indeed: more than 6 months of effort FTE for senior company staff

41. Based on your understanding of the process, which of the following do you believe qualify as matching funds for Phase IIB purposes? Select all that apply.

    [ ]  Equity investments

    [ ]  Cash loans

    [ ]  Sales

    [ ]  Additional investments from founders

    [ ]  In-kind contributions from technical partners

    [ ]  In-kind contributions from marketing partners

    [ ]  Other (please specify)

42. In comparison to other Federal awards or Federal funding, how would you rate the process of applying for Phase IIB funding? Applying for Phase IIB funding was ...

    [ ]  Much easier than applying for other Federal awards

    [ ]  Easier

    [ ]  About the same

    [ ]  More difficult

    [ ]  Much more difficult

    [ ]  Not sure, or not familiar with other Federal awards or funding

43. To what extent did the potential availability of Phase IIB funding provide additional incentives to seek investment funds?

    [ ]  Not at all

    [ ]  Somewhat

    [ ]  A great deal

    [ ]  It drove the process

44. How closely did you work with your NSF program officer as you pursued Phase IIB funding?

    [ ]  Not at all

    [ ]  Not much

    [ ]  We discussed the application in detail.

    [ ]  The officer provided a lot of guidance during the application process.

45. Additional comments on working with your NSF counterparts? ____________________________________________
46. Looking back, was the SBIR Phase IIB funding your company received worth the effort involved to get the award?

    [ ]  Yes

    [ ]  No

    [ ]  Not sure

47. Overall, how would you rate the impact that the NSF Phase IIB matching funds program has had on your company?

    [ ]  Very positive

    [ ]  Somewhat positive

    [ ]  Neutral

    [ ]  Somewhat negative

    [ ]  Very negative

48. What specific impacts on companies should NSF consider when reviewing the program? ____________________________________________
49. Overall, would you recommend that the Phase IIB program be...

    [ ]  Expanded (with equivalent funding taken from other phases of the SBIR program at NSF)

    [ ]  Kept at about the current level

    [ ]  Reduced (with equivalent funding applied to other phases of the SBIR program at NSF)

    [ ]  Eliminated (with equivalent funding applied to other phases of the SBIR program at NSF)

50. How adequate was the amount of money you received through Phase IIB funding for the purposes you applied for? Was it...

    [ ]  More than enough

    [ ]  About the right amount

    [ ]  Not enough

51. Should NSF increase the size of Phase IIB awards even if that means a lower number of Phase IIB awards are made?

    [ ]  Yes

    [ ]  No

    [ ]  Not sure

52. Should NSF permit the use of “in-kind” contributions as acceptable funding for the required match, provided they can be clearly documented?

    [ ]  Yes

    [ ]  No

    [ ]  Not sure

53. Do you have any additional comments about or recommendations for the NSF Phase IIB program?