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Suggested Citation:"1. DRAFT PHASE I SURVEY." National Research Council. 2004. An Assessment of the Small Business Innovation Research Program: Project Methodology. Washington, DC: The National Academies Press. doi: 10.17226/11097.
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Suggested Citation:"1. DRAFT PHASE I SURVEY." National Research Council. 2004. An Assessment of the Small Business Innovation Research Program: Project Methodology. Washington, DC: The National Academies Press. doi: 10.17226/11097.
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Suggested Citation:"1. DRAFT PHASE I SURVEY." National Research Council. 2004. An Assessment of the Small Business Innovation Research Program: Project Methodology. Washington, DC: The National Academies Press. doi: 10.17226/11097.
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Suggested Citation:"1. DRAFT PHASE I SURVEY." National Research Council. 2004. An Assessment of the Small Business Innovation Research Program: Project Methodology. Washington, DC: The National Academies Press. doi: 10.17226/11097.
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Suggested Citation:"1. DRAFT PHASE I SURVEY." National Research Council. 2004. An Assessment of the Small Business Innovation Research Program: Project Methodology. Washington, DC: The National Academies Press. doi: 10.17226/11097.
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Draft Phase I Survey.99 Introduction This survey is an important part of a major study commissioned by the US Congress to review operations of SBIR grant programs at federal agencies.100 The assessment, by the National Research Council, seeks to determine both the extent to which the SBIR programs meet their mandated objectives, and to investigate ways in which the programs could be improved.101 Your participation in this survey will help to address these questions. We anticipate that the survey should take about 5 minutes of your time.102 If you have further questions either about the survey or about the assessment more broadly, please contact Dr. Charles Wessner, Study Director, National Research Council. Project Information } PROPOSAL TITLE: This project information will be filled in Before the respondent receives the survey TOPIC NUMBER: PHASE I CONTRACT/GRANT NUMBER: 1. Which statement correctly describes why you did not receive a Phase II award after completion of your Phase I effort? a. ___ The company did not apply for a Phase II. Go to question 2 b. ___ The company applied, but was not selected for a Phase II. Skip to question 3. c. ___ The company was selected for a Phase II, but negotiations with the government failed to result in a grant or contract. Skip to question 3. 2. The company did not apply for a Phase II because: Select all that apply. a. ___ Phase I did not demonstrate sufficient technical or commercial promise. b. ___ The research goals were met by Phase I. No Phase II was required. c. ___ The agency did not invite a Phase II proposal. d. ___ Preparation of a Phase II proposal was considered too difficult to be cost effective. e. ___ The company did not want to undergo the audit process. f. ___ The company shifted priorities. g. ___ The PI was no longer available. h. ___ The government indicated it was not interested in a Phase II. 3. Did this Phase I produce a non-commercial benefit? Check all responses that apply. a. ___ The awarding agency obtained useful information. b. ___ The firm improved its knowledge of this technology. c. ___ The firm hired or retained a valuable employee. d. ___ The public directly benefited or will benefit from the results of this Phase I. (Briefly explain benefit _________________________________________________________________) e. ___ No 4. Although no Phase II was awarded, did your company continue to pursue the technology examined in this Phase I? Select all that apply. a. ___ The company did not pursue this effort further. b. ___ The company received at least one subsequent Phase I SBIR award in this technology. c. ___ The company received at least one subsequent Phase II SBIR award in this technology. 99 One survey per selected Phase I project. 100 We will probably not have an email address for firms that have not entered into the commercialization database. We have two options if we want to do an electronic Phase I survey. We can mail a letter to them asking that they complete the online survey. Or we can send them a short paper survey in which we ask only the first four questions and their email address, then follow up with an electronic survey where appropriate. With either option, we will need to obtain some firm information if we want to compare Phase I winners with Phase II winners. 101 This introduction is in part a place holder. It will be revised after the preliminary notification letter and the accompanying introduction/instructions for the firm survey are prepared. 102 For short paper survey; 10 minutes for full electronic survey. 86

d. ___ The company received subsequent non-SBIR contracts or grants in this technology. e. ___ The company commercialised the technology from this Phase I. f. ___ The company licensed or sold their rights in the technology developed in this Phase I. g. ___ The company pursued the technology after Phase I, but it did not result in subsequent grants, contracts, licensing or sales. If an electronic survey, and e or f are checked, go to question 5, else go to question 7.103 Part II. Commercialization. 5. Has your company and/or licensee had any actual sales of products, processes, services or other sales incorporating the technology developed during this Phase I? (Select all that apply.) a. ___No sales to date, nor are sales expected. Go to question 7. b. ___No sales to date, but sales are expected. Go to question 7. c. ___Sales of product(s) d. ___Sales of process(es) e. ___Sales of services(s) f. ___Other sales (e.g. rights to technology, licensing, sale of spin off company, etc.) 6. For you company and/or your licensee(s), when did the first sale occur, and what is the approximate amount of total sales resulting from the technology developed during this project? If other SBIR awards contributed to the ultimate commercial outcome, report only the share of total sales appropriate to this Phase I project. (Enter the requested information for your company in the first column and, if applicable and if known, for your licensee(s) in the second column. Enter dollars. If none, enter 0 (zero)). Your Company Licensee(s) a. Year when first sale occurred b. Total Sales Dollars of Product (s) Process (es) $_ _ _, _ _ _, _ _ _ $_ _ _, _ _ _, _ _ _ or Service(s) to date c. Other Total Sales Dollars (e.g., Rights to $_ _ _, _ _ _, _ _ _ $_ _ _, _ _ _, _ _ _ technology, Sale of spin off company, etc.) to date 7. How did you, or do you, expect to commercialise your SBIR award? a. ___No commercial product, process, or service was/is planned. b. ___As software c. ___As an intermediate hardware product or component d. ___As a final hardware product e. ___As process technology f. ___As new or improved service capability 8. In you opinion, in the absence of this Phase I award, would your company have undertaken this project? (Select one.) a. ___Definitely yes b. ___Probably yes c. ___Uncertain d. ___Probably not e. ___Definitely not Answer Q. 9 and Q. 10 only if you answered e, f, or g to question 4, else go to Question 11 9. If you had received a Phase II award as a result of this Phase I, your subsequent efforts to commercialize this technology would have been. Select best one answer. a. ___Broader in scope b. ___Similar in scope 103 If a paper survey, the final question would ask the name, phone and email address of the person completing the survey for possible contact if there were further questions. 87

c. ___Narrower in scope 10. Due to the absence of Phase II SBIR funding, (Please provide your best estimate of the impact) a. Further development effort were delayed about____months. b. The expected duration/time to completion was 1) ___ longer 2) ___ the same 3) ___ shorter c. In achieving similar goals and milestones to those that were or would been proposed for Phase II , commercialization is 1) ___ ahead 2) ___ the same place 3) ___ behind 11. If applicable, please give the number of patents, copyrights, trademarks, and/or scientific publications for the technology developed as a result of this project. (Enter numbers. If none, enter 0 (zero).) Number Applied For/ Number Received/ Submitted Published Patent(s) Copyright(s) Trademark(s) Scientific Publication(s) Part III. Other SBIR funding 12. How many SBIR awards has your company received that are related to the project/technology supported by this Phase I award? a. Number of related Phase I awards b. Number of related Phase II awards Part IV. Funding and other assistance 13. Prior to this SBIR Phase I award, did your company receive funds for research or development of the technology in this project from any of the following sources? a. ___Prior SBIR b. ___Prior non-SBIR federal R&D c. ___Venture Capital d. ___Other private company e. ___Private investor f. ___Internal company investment (including borrowed money) g. ___State or local government h. ___College or University i. ___ Other Specify _________ The following questions apply only to those who answered b, c, d, e, or f to question 5. Commercialization of the results of an SBIR project normally requires additional developmental funding. Questions 14 and 15 address additional funding. Additional Developmental Funds include non-SBIR funds from federal or private sector sources, or from your own company, used for further development and/or commercialization of the technology developed during this Phase I project. 14. Have you received or invested any additional developmental funding in this project? 88

a. Yes Go to question 15 b. No Go to Question 16 15. To date, what has been the approximate total additional developmental funding for the technology developed during this project? Source Developmental Funding a. Non-SBIR federal funds $_ _, _ _ _, _ _ _ b. Private Investment (1) U.S. venture capital $_ _, _ _ _, _ _ _ (2) Foreign investment $_ _, _ _ _, _ _ _ (3) Other Private equity $_ _, _ _ _, _ _ _ (4) Other domestic private company $_ _, _ _ _, _ _ _ c. Other sources (1) State or local governments $_ _, _ _ _, _ _ _ (2) College or Universities $_ _, _ _ _, _ _ _ d. Your own company (Including money $_ _, _ _ _, _ _ _ you have borrowed) e. Personal funds of company owners $_ _, _ _ _, _ _ _ Question 16 applies to all respondents. 16. Did you receive assistance in Phase I or Phase II proposal preparation for this award? Phase I Phase II a. State agency provided assistance b. Mentor company provided assistance c. Regional association provided assistance d. University provided assistance e. We received no assistance in proposal preparation 89

FIRM Survey.104 The following additional information will help us understand how the SBIR program is contributing to the formation of new small businesses active in federal R&D and how they impact the economy. 1. When was your company founded? ____ 2. Was your company founded because of the SBIR Program? a. ___ Yes b. ___ No 3. What was the most recent employment of the company founders prior to founding this company? (Indicate all that apply.) a. ___ Other private company b. ___ College or University c. ___ Government 4. What year did your company receive its first SBIR Phase I award? ____ 5. How many employees (equivalent full time) did your company have when it received its first Phase I award? ____ 6. How many employees (equivalent full time) does your company have today? ____ 7. The company’s total revenue for the last fiscal year: a. ___ <$100,000 b. ___ $100,000-$499,999 c. ___ $500,000-$999,999 d. ___ $1,000,000-$4,999,999 e. ___ $5,000,000-$19,999,999 f. ___ $20,000,000 + 8. For the past fiscal year about ____% of the company’s revenues came from the SBIR program. 104 The following questions will only be asked of firms, which have not received any Phase II surveys. 90

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In response to a Congressional mandate, the National Research Council conducted a review of the SBIR program at the five federal agencies with SBIR programs with budgets in excess of $100 million (DOD, NIH, NASA, DOE, and NSF). The project was designed to answer questions of program operation and effectiveness, including the quality of the research projects being conducted under the SBIR program, the commercialization of the research, and the program's contribution to accomplishing agency missions. This report describes the proposed methodology for the project, identifying how the following tasks will be carried out: 1) collecting and analyzing agency databases and studies; 2) surveying firms and agencies; 3) conducting case studies organized around a common template; and 4) reviewing and analyzing survey and case study results and program accomplishments. Given the heterogeneity of goals and procedures across the five agencies involved, a broad spectrum of evaluative approaches is recommended.

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