STTR: An Assessment of the Small Business Technology Transfer Program (2016)

Appendix C

National Academy 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
   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
3. Delete the following fields:

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 page 55.]

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) …*

2. 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.

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]?*

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

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?

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

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)?

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?

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

Select all that apply.

12. How many patents have resulted, at least in part, from the company’s SBIR/STTR awards?

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

14. Number of company employees (including all affiliates):

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.

Part 3. PI/Senior Executive Information

15. The Principal Investigator for this [SBIR/STTR] Award was a …

Select all that apply.

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

Select all that apply.

17. At the time of the award, the age of the leading PI was…

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

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.

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.

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

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?
25. 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 …
26. 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)
27. 1. …how long would the start of this project have been delayed? [text box] months
       1. longer
       2. the same
       3. shorter
    2. …the expected duration/time to completion would have been…
    3. …in achieving similar goals and milestones, the project would be…

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

28. Matching or co-investment funding proposed for Phase II was received from ...

Select all that apply.

1. Private investment: U.S. Sources
2. 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
   1. Financial investors
   2. Strategic investors/partners
3. Foreign investment
   1. State or local governments
   2. Research institutions (such as colleges, universities or medical centers)
4. Other sources
   1. Your own company (Including money you have borrowed)
   2. Personal funds
5. Internal sources

29. How difficult was it for the company to acquire the funding needed to meet the matching funds requirements?
30. 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?

31. What have been the sources of additional development funding?

Select all that apply.

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.

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.

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]?

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]?

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%.

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

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

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).

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

NIH Only

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

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

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

Select all that apply.

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

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

45. If applicable, how useful was this support?

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)?

47. Was the additional funding sufficient to allow you to complete any of the following?

Select all that apply.

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

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?

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?

50. What company provided assistance to you?

51. How valuable was the commercialization assistance?

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

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...

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

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?

56. Overall, would you recommend that the SBIR/STTR program be...?

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

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?

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

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

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]

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

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)?

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

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

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

68. Additional comments on working with your Project Manager

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

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

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.

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

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.

Part 8. STTR

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

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?

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

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

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

79. Please explain these differences in your own words.

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

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

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

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?

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