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5 Quantitative Outcomes
Pages 73-89

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From page 73...
... Thus, analysis of outcomes presented in this chapter is based on the 2011-2014 Survey of Phase II SBIR/STTR recipients at the five major research agencies (Department of Defense [DoD] , National Science Foundation [NSF]
From page 74...
... . In addition, future assessments should document the root cause of non-responsiveness though this will require agency staffs do a better job of maintaining award databases with routine updates of PI contact information.
From page 75...
... This reflects the SBIR mandate that the PI must work more than 50 percent at the SBC, making it much harder to be simultaneously the PI of an SBIR project and a faculty member. • Seventy percent of STTR projects reported using a faculty member as a subcontractor (compared to 26 percent for SBIR respondents)
From page 76...
... The questionnaire also asked about intellectual property related to the specific award being surveyed. Forty-two percent of STTR respondents reported receiving at least one patent related to the surveyed technology.
From page 77...
... N=155. FIGURE 5-2 Patents related to surveyed STTR project.
From page 78...
... About one quarter of STTR respondents indicated that the award had helped generate a new connection to an RI, while 71 percent indicated that the award had helped improve an existing connection. FIGURE 5-3 Number of peer-reviewed articles related to surveyed STTR project (percentage of respondents)
From page 79...
... Eighty-two percent of STTR respondents reported that their company published at least one article based on the STTR-funded work, and 46 percent reported publication of three or more such papers. COMMERCIALIZATION As with previous Academies reports on the SBIR program, a broad view of commercialization was adopted, taking it to include additional investments in technology development from outside the SBIR or STTR program as well as sales and licensing revenues.
From page 80...
... Overall, about 40 percent of STTR projects reported some sales or licensing revenues to date, and a further 28 percent expected sales in the future. Amount of Sales and Licensing Revenues The percentage of projects reaching the market is an important metric, but it is not sufficient; it is also necessary to understand the distribution of sales.
From page 81...
... 7 Seventy-one percent of STTR survey respondents indicated that their company received additional investment in the technology related to the surveyed project. As with prior surveys, there is substantial skew with regard to 7 See National Research Council, An Assessment of the SBIR Program, Washington, DC: The National Academies Press, 2008.
From page 82...
... , 54 percent reported additional funding from internal sources, 46 percent from nonSBIR/STTR federal sources, and 32 percent from other external sources such as state governments and foundations. Fifteen percent reported investments from strategic partners, six percent reported venture capital funding, and 3 percent reported funding from angel and other private equity investors.
From page 83...
... 8 These data have interesting wider implications for debates about earlystage funding; notably, they suggest weak support for the "crowding out" hypothesis (that public funding displaces private investment)
From page 84...
... COMPANY IMPACTS Although the effect of STTR funding on the company is not directly included in the congressional objectives for the program, helping small companies to become self-sufficient (and in some cases to grow rapidly) has implications for program impacts and is therefore included in this analysis.
From page 85...
... Thirty-one percent of STTR companies reported zero SBIR/STTR revenues, while about 24 percent reported receiving greater than one-half of the company's revenues from SBIR/STTR in their most recent fiscal year. The survey also asked about the overall impact of SBIR/STTR on the company.
From page 86...
... are not included in this assessment because a comparison between selected agency data and SBA data indicated that the latter does not reliably report company ownership. Participation of Woman-owned Firms Figure 5-7 shows that woman-owned firms accounted for 8 percent of the respondent firms for all five study agencies.
From page 87...
... N=270. Survey respondents reported that women constituted 10 percent of STTR PIs, which is slightly higher than the percentage reported for SBIR (8.9 percent)
From page 88...
... SOURCE: 2011-2014 Survey, Question 15. TABLE 5-7 Minority PIs for STTR/SBIR Awards, 1997-2011 Percentage of Responses STTR Awardees SBIR Awardees Asian Indian 4.1 4.1 Asian Pacific 4.1 5.1 Black 0.7 0.2 Hispanic 3.0 1.3 Native American 0.7 0.2 Other 1.5 0.5 Not a minority 85.9 88.7 N= 270 1,856 SOURCE: 2011-2014 Survey, Question 16.
From page 89...
... , 2015. See also National Research Council, Expanding Underrepresented Minority Participation: America's Science and Technology Talent at the Crossroads, Washington, DC: The National Academies Press, 2011.


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