Appendix C

National Academies of Sciences, Engineering, and Medicine

2014 SBIR/STTR Survey

Introduction

Welcome to the National Academies SBIR/STTR Survey. Thank you for participating. This survey seeks responses related to the Phase II project entitled [insert project title], funded by [insert agency name], at [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.

Finally, please use the navigational buttons within the survey. The back and forward buttons on your browser will not work.

Privacy and Confidentiality Policy

Responses to this survey will be held in confidence by the survey team. No identifiable information will be provided to other Academy staff or to the Public Access File which provides researchers with access to project data.

In order to implement this commitment, the following steps have been taken, covering three areas:

1. Data in the published report
2. Management of raw data files
3. Additional review of textual (open-ended) responses

1. Data in the published report.

All data except for text responses will be presented only in aggregated form in the report; no individually identifiable cells will be published.

2. Managing raw data.

In order to provide researchers with access while meeting the confidentiality commitment, the following steps will be taken by the Contractor prior to providing an expurgated data set to the Academy for inclusion in the Public Access File:

1. Replace company name with a new company ID
2. Replace PI name with a new PI ID
3. Delete the following fields:
   1. Agency record ID
   2. Company address except for State field
   3. Project title
   4. Project abstract
   5. Flag for woman owned business
   6. Flag for minority owned business

The raw (unexpurgated) data set will be retained by the Contractor for two years after publication of the report. All copies of the raw data will then be destroyed. The expurgated data set will be retained indefinitely in the Public Access File related to the project.

3. Review of textual responses.

Two independent reviewers will analyze open ended responses with a view to redacting material that could provide clues as to the identity of the respondent prior to their inclusion in the Public Access File. In particular, this review will redact all company names, product names, and PI or other company official names, as well as other potential identity clues.

Do you approve the privacy and confidentiality policy as shown above?
[Yes/No. If no, jump to SBIR/STTR Process Issues.]

This information is required only to determine your current status, and to ensure that we have accurate contact information. Your information will be strictly private and will not be shared with any private entity or government agency; aggregated data will be shared in a published report.

1. For the project referenced above, were you (during the time period covered by this award) …*
   
   Select all that apply.

1. A Principal Investigator (PI) on this project
2. The CEO
3. A company founder
4. Senior researcher (other than PI)
5. Not CEO but a senior executive with the company identified above
6. None of the above (exit questionnaire)

Part 1. Information About You.

2. 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.

First name: [Text box]

Last name: [Text box]

Current email address: [Text box]

Current work telephone number (for follow up questions if necessary): [Text box]

Part 2. Company Information Section

3. Have you already completed a questionnaire about another SBIR or STTR project for this National Academy survey related to [insert company name]?*

[Yes/No. If yes, skip to Part 3: PI/Senior Executive Information]

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

[Yes/No]

5. Thinking about the number of founders of the company, what was…?
   
   Min = 0 Max = 20 Must be numeric

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) [number box]
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 [number box]

6. 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. Research institution
4. FFRDCs or National Labs
5. Other

7. Was the company founded because of the SBIR/STTR program?

Yes

In part

No

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

$0

Under $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 or more

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

0%

1-10%

11-25%

26-50%

51-75%

76-99%

100%

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

0%

1-10%

11-25%

26-50%

51-75%

76-100%

11. Which if any of the following has the firm experienced since your first SBIR/STTR award?
    
    Select all that apply.

Made an initial public offering

Established one or more spin off companies

Been acquired by/merged with another firm

Planning to make an initial public offering in the next two years

Entered into strategic partnership with major industry player

None of the above

12. How many patents have resulted, at least in part, from the company’s SBIR/STTR awards?
    
    Min = 0 Max = 999 Must be numeric
    Whole numbers only
    Positive numbers only

[number box]

13. Does the company have one or more full time staff for marketing or business development?

[Yes/No]

14. Number of company employees (including all affiliates):
    
    Min = 0 Max = 99999 Must be numeric
    Whole numbers only
    Positive numbers only

1. At the time of the award in [pipe in award year] [Number box]
2. Currently [Number box]

15. What was the ownership status of the company at the time of the award?
    
    Select all that apply.

1. Woman-owned
2. Minority-owned
3. Neither of the above

If the answer is “Minority-owned,” please indicate the ethnic minority group[s] that company owners [at the time of the award] belonged to.

Select all that apply.

Asian-Indian

Asian-Pacific

Black

Hispanic

Native American

Other [Text box]

Part 3. PI/Senior Executive Information

16. The Principal Investigator for this [SBIR/STTR] Award was a …
    
    Select all that apply.

1. Woman
2. Minority
3. Neither of the above

If the answer is “Minority,” please indicate the ethnic minority group[s] the Principal Investigator for this award belongs to.

Select all that apply.

Asian-Indian

Asian-Pacific

Black

Hispanic

Native American

Other [Text box]

17. At the time of the award, the age of the leading PI was…
    
    [Under 25, 25-29, 30-34, 35-39, 40-44, 45-49, 50-54, 55-59, 60-64, 65+]

18. 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 [Text box]

19. 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/STTR funded research.
2. Efforts at this company have been discontinued. No sales or additional funding resulted from this project.
3. Efforts at this company have been discontinued. The project did result in sales, licensing of technology, or additional funding.
4. Project is continuing post-award technology development.
5. Commercialization is underway.
6. Products/Processes/Services are in use by target population/customer/consumers.
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).

20. If the answer is either b) or c), did the reasons for discontinuing this project include any of the following?
    
    Select one of the reasons as the Primary Reason. Select all that apply as Other contributing reasons.
    
    Another firm got to the market before us
    Level of technical risk too high
    Principal Investigator left
    Technical failure or difficulties
    Inadequate sales capability
    Project goal was achieved (e.g. prototype delivered for federal agency use)
    Licensed to another company
    Market demand too small
    Company shifted priorities
    Other (Please specify in comments box below)
    
    Comments
    [Text box]

Part 4. Project status information

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

Aerospace and Defense

Aerospace

Defense-specific products and services

Energy and the environment

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

Energy storage and distribution

Energy efficiency

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

Materials (including nanotechnology for materials)

Medical technologies

Pharmaceuticals

Medical devices

Biotechnology (including therapeutic, diagnostic, combination)

Health IT (including mobile, big data, training modules)

Research tools

Other medical products and services

Other (please specify) [Text box]

22. Did you experience a gap between the end of Phase I and the start of Phase II for this award?

[Yes/No. If no, skip to question 25]

23. During the funding gap between Phase I and Phase II for this award, which of the following occurred?
    
    Select all answers that apply.

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 gap funding between Phase I and Phase II.
5. Company ceased all operations during funding gap
6. Other (specify) [Text box]

24. In your opinion, in the absence of this SBIR/STTR award, would the company have undertaken this project?

1. Definitely yes [Answer questions 25-27.]
2. Probably yes [Answer questions 25-27.]
3. Uncertain
4. Probably not
5. Definitely not

25. If you had undertaken this project in the absence of SBIR/STTR, this project would have been …

1. Broader in scope
2. Similar in scope
3. Narrower in scope

26. In the absence of SBIR/STTR funding… (Please provide your best estimate of the impact)

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
3. …in achieving similar goals and milestones, the project would be…
   1. ahead
   2. the same place
   3. behind

27. Did this award require matching funds or other types of cost sharing in the Phase II Proposal?

[Yes/No. If No, skip questions 28-39.]

28. Matching or co-investment funding proposed for Phase II was received from ...
    
    Select all that apply.

Non-SBIR/STTR federal funds

1. Private investment: U.S. Sources
   1. venture capital (VC)
   2. U.S. angel funding or other private equity investment (not VC)
   3. Friends and family
   4. Strategic investors/partners
   5. Other sources
2. Foreign investment
   1. Financial investors
   2. Strategic investors/partners
3. Other sources
   1. State or local governments
   2. Research institutions (such as colleges, universities or medical centers)
4. Internal sources
   1. Your own company (Including money you have borrowed)
   2. Personal funds

29. How difficult was it for the company to acquire the funding needed to meet the matching funds requirements?

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

Part 5. Project outcomes

30. To date, what has been the total additional developmental funding for the technology developed during this project?

None $0

Under $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 or more

31. What have been the sources of additional development funding?
    
    Select all that apply.

Non-SBIR/STTR federal funds

1. Private investment: U.S. Sources
   1. venture capital (VC)
   2. U.S. angel funding or other private equity investment (not VC)
   3. Friends and family
   4. Strategic investors/partners
   5. Other sources
2. Foreign investment
   1. Financial investors
   2. Strategic investors/partners
3. Other sources
   1. State or local governments
   2. Research institutions (such as colleges, universities or medical centers)
4. Internal sources
   1. Your own company (Including money you have borrowed)
   2. Personal funds

32. 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 questions 33-39.]
2. No sales to date, but sales are expected. [Skip to question 33-39.]
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.)

33. For the company and/or the licensee(s), when did the first sale occur resulting from the technology developed during [name of project]?
    
    If multiple SBIR/STTR awards contributed to the ultimate commercial outcome, report only the share of total sales appropriate to this SBIR/STTR project.

For the company [Pulldown with choices from 1990-2014]

For any licensees [Pulldown with choices from 1990-2014]

34. For the company, 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]?

[Pulldown with choices:

None $0

Under $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 or more]

35. 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]?

[Pulldown with choices:

None $0

Under $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 or more]

36. To date, approximately what percent of total sales from the technology developed during this project have gone to the following customers?
    
    Round percentages. Answers required to add to 100%.

1. Domestic private sector [Number box]
2. Export Markets [Number box]
3. Department of Defense (DoD) [Number box]
4. NASA [Number box]
5. Prime contractors for DoD [Number box]
6. Prime contractor for NASA [Number box]
7. Agency that awarded the Phase II (if not NASA or DoD) [Number box]
8. Other federal agencies [Number box]
9. State or local governments [Number box]
10. Other [Number box] (Specify below, if applicable)

If applicable please specify what “other” types of customers you have sold to as a result of this project.

[Text box]

37. Please list any significant commercial partnerships (including licensing agreements) based on the SBIR/STTR-funded technology.

[Text box]

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

Patents [Number box]

Copyrights [Number box]

Trademarks [Number box]

Published articles [Number box]

39. How many SBIR and/or STTR awards has the company received that are related to the project/technology supported by this award?

1. Number of related Phase I awards [Text box]
2. Number of related Phase II awards [Text box]

NIH Only

40. Does your product require FDA approval before it can be marketed?

[Yes/No. If no, skip to question 47]

41. What is the current status of the project with regard to the FDA process?

Process abandoned

Preparation under way for clinical trails

IND granted

In Phase 1 clinical trials

In Phase 2 clinical trials

In Phase 3 clinical trials

Completed clinical trials

42. What sources of funding have been employed in relation to the FDA process?
    
    Select all that apply.

SBIR Phase II

SBIR Phase IIB

Other NIH Funding

BARDA funding

Internal company and personal funding

Angel Funding

Venture funding

Funding from other companies

Other (specify) [Text box]

43. For projects still in process, when approximately – assuming all goes well with clinical trials – do you anticipate completing the FDA certification process?

[Text box]

44. What non-financial support in relation to FDA approval have you received from NIH before and during the clinical trials process?

[Text box]

45. If applicable, how useful was this support?

Extremely useful (5)

4

3

2

Not useful at all (1)

Comments
[Text box]

46. How much difference did Phase IIB funding make to the eventual outcome of the project (or its current status if research is not completed)?
    
    A tremendous difference (5)
    4
    3
    2
    It made no difference at all (1)
    
    Comments
    [Text box]

47. Was the additional funding sufficient to allow you to complete any of the following?
    
    Select all that apply.

Preclinical trial preparation

Phase 1 trials

Phase 2 trials

Phase 3 trials

No/None of the above

48. What additional measures should NIH take to support companies like yours during the process?

[Text box]

Part 6. SBIR Process and Recommendations

49. Many agencies offer commercialization assistance in connection with SBIR or STTR awards. Did you (or another company staff member) participate in a technical assistance related to this award that was offered by your funding agency?

[Yes/No. If no, skip questions 50-73.]

Phase I

Phase II

Both

50. What company provided assistance to you?

Dawnbreaker

LARTA

Foresight

Other (specify) [Text box]

51. How valuable was the commercialization assistance?

Extremely valuable

Very valuable

Somewhat valuable

Not very valuable

Not at all valuable

52. New rules permit companies to use up to $10,000 of SBIR/STTR funding for their own marketing purposes, outside the agency program.
    
    Would you…

Continue to use the agency’s program

Use the funding for your own marketing consultant

Neither

53. In comparison to other Federal awards or Federal funding, how would you rate the process of applying for Phase II funding? Applying for SBIR/STTR Phase II funding was...

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

54. How adequate was the amount of money you received through SBIR/STTR Phase II funding for the purposes you applied for? Was it...

1. More than enough
2. About the right amount
3. Not enough

55. Congress recently increased the standard limit on awards to $1 million for SBIR/STTR. Should the size of Phase II awards be increased even if that means a proportionately lower number of Phase II awards are made?

1. Yes
2. No
3. Not sure

56. Overall, would you recommend that the SBIR/STTR 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)

57. To what extent did the SBIR/STTR funding significantly affect long term outcomes for the company?

1. Had a highly positive or transformative effect
2. Had a positive effect

3. Had no effect
4. Had a negative effect
5. Had a highly negative or disastrous effect

58. Can you explain these impacts in your own words?

[Text box]

Part 7. Working with Project Managers

This section seeks information about your interactions with your agency point of contact, who for the purposes of this survey is referred to as a “Project Manager.”

59. How often did you engage with your Project Manager in the course of your award?

1. weekly
2. monthly
3. quarterly
4. annually

60. How valuable was your Project Manager on a scale of 1-5, with 1 being no help and 5 being invaluable?

Invaluable (5)

4

3

2

No help (1)

61. How knowledgeable was your Project Manager about the SBIR/STTR program. Were they able to guide you effectively through the SBIR/STTR process?

1. Not at all knowledgeable
2. Quite knowledgeable
3. Somewhat knowledgeable
4. Extremely knowledgeable

62. 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]

1. Providing direct technical help
2. Finding markets for our technology or products/services
3. The Phase II application process
4. Introducing us to university personnel or government labs that could

5. contribute to the project

6. Introducing us to other firms that could provide technical expertise

63. How closely did you work with your Project Manager as you pursued additional funding beyond Phase II?

1. The officer provided a lot of guidance during the application process
2. We discussed the application in detail
3. Not much
4. Not at all
5. We did not apply for additional agency funding

64. How effective was the Project Manager in connecting the company to sources of Phase III funding (such as acquisition programs or venture/angel funding)?

Very helpful

Somewhat helpful

Not very helpful

Not at all helpful

65. How easy was it to reach your Project Manager when you had questions or concerns?

Very easy

Easy

Hard

Very hard

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

[Yes/No]

67. How do you see the time allocated for your Project Manager to work on your project?

More than sufficient

Sufficient

Insufficient

68. Additional comments on working with your Project Manager

[Text box]

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

Yes (Answer question 70)

No (Skip to question 71)

70. Please provide the name of the Federal System or Acquisition Program that is using the technology.

[Text box]

71. This questions address any relationships between your firm’s efforts on this project and any partnering Research Institution (RI) (including universities, medical centers, Federal research labs).
    
    Select all that apply.

1. The PI for this project was at the time of the project an RI faculty member
2. The PI for this project was at the time of the project an RI 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 an RI
6. The technology for this project was originally developed at an RI by one of the participants in this project
7. An RI was a subcontractor on this project
8. None of the above [Skip questions 72-73.]

72. Which research institution (or institutions) worked with your firm on this project?

[Text box]

73. If you worked with an FFRDC or a National Lab as part of this project, please briefly describe this aspect of the project, and add any further comments based on this aspect of the project.

[Text box]

Part 8. STTR

74. To what extent did your STTR award change your relationship with the research institution?

1. Substantially enhanced it

2. Somewhat enhanced it
3. Made no real difference
4. Made it somewhat worse
5. Made it substantially worse

If you have additional comments and/or recommendations about working with a research institution in the context of SBIR/STTR, please enter them here.

75. Did you collaborate with this research institution before receiving this STTR award?

[Yes/No]

76. Have you ever received a Small Business Innovation Research (SBIR) award?

[Yes/No. If no, skip to question 80]

77. Have you had prior SBIR awards in which you collaborated with a research institution?

[Yes/No]

78. From your perspective, are there significant differences between SBIR and STTR awards?

[Yes/No. If no, skip to question 80.]

79. Please explain these differences in your own words.

[Text box]

80. If you have received both SBIR and STTR awards, did you find that

1. STTR is easier to manage than SBIR
2. They are about the same
3. STTR is harder to manage than SBIR

81. Do you think that the funding proportion that can be allocated to the research institution should be increased?

1. Strongly agree
2. Somewhat agree
3. Neither agree nor disagree
4. Somewhat disagree
5. Strongly disagree

82. Have you tried to switch an STTR Phase I award to an SBIR Phase II award, or the other way around?

[Yes/No]

83. Are these specific ways in which outcomes from your SBIR/STTR awards as a company have helped meet the mission of the funding agency?

[Text box]

84. Other comments or recommendations based on your experience with the STTR program?

[Text box]