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SBIR at NASA (2016)

Chapter: Appendix C: 2011 Survey Instrument

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Suggested Citation:"Appendix C: 2011 Survey Instrument." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×

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)

a. Principal Investigator (PI) on this project

b. Senior researcher (other than PI)

c. the CEO

d. not CEO but a senior executive with the company identified above

e. 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]

Suggested Citation:"Appendix C: 2011 Survey Instrument." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×

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

a. The total number of founders [number box]

b. 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]

c. The number of founders who have a business background [number box]

d. The number of founders who have an academic background [number box]

e. 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.

a. Other private company

b. Government

c. College or University

d. 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%

Suggested Citation:"Appendix C: 2011 Survey Instrument." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×

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]

PART 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]

a. Last name

b. First name

c. Current email address

d. 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)

a. Woman

b. Minority

c. For those checking minority PI, add drop down list from SBA

Asian-Indian

Asian-Pacific

Black

Hispanic

Native 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+]

Suggested Citation:"Appendix C: 2011 Survey Instrument." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×

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)

a. at the time of the award [pipe in award year] [Number box]

b. Currently [Number box]

19. What was the ownership status of the company at the time of the award? (3 part question—19a, 19b, 19c)

a. Woman-owned

b. Minority-owned

c. For those checking minority-owned, add drop down list from SBA

Asian-Indian

Asian-Pacific

Black

Hispanic

Native 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

Suggested Citation:"Appendix C: 2011 Survey Instrument." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×

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?

a. Prior SBIR (Excluding the Phase I which preceded this Phase II.) [this parenthetical not shown to Phase Is]

b. Prior non-SBIR federal R&D

c. Venture capital

d. Other private company

e. Private investor (including angel funding)

f. Internal company investment (including borrowed money)

g. State or local government

h. College or university

i. Other Specify _________

[Phase 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]

a. Yes Continue.

b. 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]

a. Stopped work on this project during funding gap.

b. Continued work at reduced pace during funding gap.

c. Continued work at pace equal to or greater than Phase I pace during funding gap.

Suggested Citation:"Appendix C: 2011 Survey Instrument." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×

d. Received bridge funding between Phase I and II.

e. Company ceased all operations during funding gap

f. Other [specify]

24. In your opinion, in the absence of this SBIR award, would the company have undertaken this project? [P2 only] Select one.

a. Definitely yes

b. Probably yes [If selected a or b, go to question 25]

c. Uncertain

d. Probably not

e. 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]

a. Broader in scope

b. Similar in scope

c. Narrower in scope

26. In the absence of SBIR funding… (please provide your best estimate of the impact) [P2 only]

a. how long would the start of this project have been delayed? [text box - months]

b. the expected duration/time to completion would have been…

1) longer

2) the same

3) shorter

c. in achieving similar goals and milestones, the project would be…

1) ahead

2) the same place

3) behind

27. Did this award identify matching funds or other types of cost sharing in the Phase II Proposal? [P2 only]

a. Yes.

b. b. No. [If b, skip to question 30]

28. Matching or co-investment funding proposed for Phase II was received from (check all that apply). [P2 only]

a. Our own company (includes borrowed funds).

b. Federal non-SBIR funding.

c. Another company.

d. An angel or other private investment source.

e. Venture capital.

f. Other [specify]

Suggested Citation:"Appendix C: 2011 Survey Instrument." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×

29. How difficult was it for the company to acquire the funding needed to meet the matching funds requirements? [P2 only]

a. No additional effort needed except paperwork

b. Less than 2 weeks Full Time Equivalent (FTE) for senior company staff

c. 2-8 weeks effort FTE for senior company staff

d. 2-6 months of effort FTE for senior company staff

e. More than 6 months of effort FTE for senior company staff

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

a. Project has not yet completed SBIR funded research. Go to question 33.

b. Efforts at this company have been discontinued. No sales or additional funding resulted from this project. Go to question 31.

c. Efforts at this company have been discontinued. The project did result in sales, licensing of technology, or additional funding. Go to question 31.

d. Project is continuing post-award technology development. Go to question 33.

e. Commercialization is underway. Go to question 33.

f. Products/Processes/Services are in use by target population/customer/consumers. Go to question 33.

g. 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)
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)

Suggested Citation:"Appendix C: 2011 Survey Instrument." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×

PART 6. PROJECT OUTCOMES

33. Have you received or invested any additional developmental funding in this project since the SBIR award?

a. Yes

b. 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+

Source of Developmental Funding Since Receiving SBIR Award

a. Non-SBIR federal funds

b. Private Investment

(1) U.S. venture capital

(2) Foreign investment

(3) Other Private equity (including angel funding)

(4) Other domestic private company

c. Other sources

(1) State or local governments

(2) College or Universities

d. Not previously reported

(1) Your own company (including money you have borrowed)

(2) Personal funds

35. 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.

a. No sales to date nor are sales expected. Skip to question 38.

b. No sales to date, but sales are expected. Skip to question 38.

c. Sales of product(s)

d. Sales of process(es)

e. Sales of services(s)

f. Other sales (e.g. rights to technology, licensing, etc.)

Suggested Citation:"Appendix C: 2011 Survey Instrument." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×

36a. 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 Awards contributed to the ultimate commercial outcome, report only the share of total sales appropriate to this SBIR project.

For the company [Pulldown with choices from 1990-2011]

For any licensees [Pulldown with choices from 1990-2011]

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%.

a. Domestic private sector

b. Department of Defense (DoD)

c. NASA

d. Prime contractors for DoD

e. Prime contractor for NASA

f. Agency that awarded the Phase II (if not NASA or DoD)

g. Other federal agencies

h. State or local governments

i. Export Markets

j. Other (Specify)_____________

Suggested Citation:"Appendix C: 2011 Survey Instrument." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×

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. Foreign
Activities Finalized Ongoing Finalized Ongoing
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?

a. Number of related Phase I awards

b. Number of related Phase II awards

Phase I recipients skip to Q44

PART 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]

a. Much easier than applying for other Federal awards

Suggested Citation:"Appendix C: 2011 Survey Instrument." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×

b. Easier

c. About the same

d. More difficult

e. Much more difficult

f. 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]

a. More than enough

b. About the right amount

c. 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]

a. Yes

b. No

c. Not sure

44. Overall, would you recommend that the SBIR program be...?

a. Expanded (with equivalent funding taken from other federal research programs that you benefit from and value)

b. Kept at about the current level

c. Reduced (with equivalent funding applied to other federal research programs you benefit from and value)

d. 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?

a. Had a negative long term effect

b. Had no long term effect

c. Had a small positive effect

d. Had a substantial positive long term effect

e. Had a transformative effect

46. Can you explain these impacts in your own words? [memo field]

PART 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.

Suggested Citation:"Appendix C: 2011 Survey Instrument." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×

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

a. weekly

b. monthly

c. quarterly

d. 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?

a. Not at all knowledgeable

b. Somewhat knowledgeable

c. Quite knowledgeable

d. 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]

a. The Phase II application process

b. Providing direct technical help

c. Introducing us to university personnel that could contribute to the project

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

e. 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]

a. Not at all

b. Not much

c. We discussed the application in detail

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

e. 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

Suggested Citation:"Appendix C: 2011 Survey Instrument." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×

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.

a. The PI for this project was at the time of the project a faculty member

b. The PI for this project was at the time of the project an adjunct faculty member

c. Faculty member(s) or adjunct faculty member(s) worked on this project in a role other than PI

d. Graduate students worked on this project

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

f. The technology for this project was originally developed at a University of College by one of the participants in this project

g. A University or College was a subcontractor on this project

h. 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]

Suggested Citation:"Appendix C: 2011 Survey Instrument." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×

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]

Suggested Citation:"Appendix C: 2011 Survey Instrument." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×
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Suggested Citation:"Appendix C: 2011 Survey Instrument." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×
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Suggested Citation:"Appendix C: 2011 Survey Instrument." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×
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Suggested Citation:"Appendix C: 2011 Survey Instrument." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×
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Suggested Citation:"Appendix C: 2011 Survey Instrument." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×
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Suggested Citation:"Appendix C: 2011 Survey Instrument." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×
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Suggested Citation:"Appendix C: 2011 Survey Instrument." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×
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Suggested Citation:"Appendix C: 2011 Survey Instrument." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×
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Suggested Citation:"Appendix C: 2011 Survey Instrument." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×
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Suggested Citation:"Appendix C: 2011 Survey Instrument." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×
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Suggested Citation:"Appendix C: 2011 Survey Instrument." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×
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Suggested Citation:"Appendix C: 2011 Survey Instrument." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×
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Suggested Citation:"Appendix C: 2011 Survey Instrument." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×
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Suggested Citation:"Appendix C: 2011 Survey Instrument." National Academies of Sciences, Engineering, and Medicine. 2016. SBIR at NASA. Washington, DC: The National Academies Press. doi: 10.17226/21797.
×
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Next: Appendix D: List of Universities Involved in Surveyed NASA SBIR Awards »
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The Small Business Innovation Research (SBIR) program is one of the largest examples of U.S. public-private partnerships, and was established in 1982 to encourage small businesses to develop new processes and products and to provide quality research in support of the U.S. government’s many missions. The U.S. Congress tasked the National Research Council with undertaking a comprehensive study of how the SBIR program has stimulated technological innovation and used small businesses to meet federal research and development needs, and with recommending further improvements to the program. In the first round of this study, an ad hoc committee prepared a series of reports from 2004 to 2009 on the SBIR program at the five agencies responsible for 96 percent of the program’s operations -- including NASA. In a follow-up to the first round, NASA requested from the Academies an assessment focused on operational questions in order to identify further improvements to the program.

Public-private partnerships like SBIR are particularly important since today's knowledge economy is driven in large part by the nation's capacity to innovate. One of the defining features of the U.S. economy is a high level of entrepreneurial activity. Entrepreneurs in the United States see opportunities and are willing and able to assume risk to bring new welfare-enhancing, wealth-generating technologies to the market. Yet, although discoveries in various fields present new opportunities, converting these discoveries into innovations for the market involves substantial challenges. The American capacity for innovation can be strengthened by addressing the challenges faced by entrepreneurs.

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