SBIR/STTR at the Department of Energy (2016) / Chapter Skim
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Appendix F: Annex to Chapter 5: Extended 2014 Survey Data
Appendix F: Annex to Chapter 5: Extended 2014 Survey Data
Pages 368-392
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From page 368... ...
2 Chapter 5 and the extended data in this appendix provide an analysis of program outcomes related to the goals of stimulating technological innovation, using small business to meet federal research and development needs, increasing private-sector commercialization of federally funded research, 3 and fostering technology transfer through cooperative R&D between small businesses and research institutions. The approach analyzes outcomes as revealed primarily by the performance of Department of Energy (DoE)
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This annex provides additional details of the commercial outcomes of the DoE SBIR/STTR programs, as well as quantitative outcome measures related to stimulating technological innovation. APPENDIX OUTLINE The remainder of this annex is broken into two sections: (1)
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Even during new product rollout, companies often do not generate immediate profits. SBIR/STTR Sales Perhaps the single most used metric for assessing SBIR/STTR-type programs is sales by the company and/or licensee of products, processes, or services or other sales incorporating the technology developed during the surveyed project.
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From page 371... ...
Forty-nine percent of all respondents reported some sales, and another 23 percent expected sales in the future. The percentage reporting sales to date was lower than for the 2005 Survey of SBIR award winners carried out by the National Academies, which found 57 percent of respondents reporting sales.
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12 Employment The 2014 Survey asked respondents both about the number of company employees at the time of the award and at the time of the survey. As shown in Table F-4 and F-5, although 47 percent of responding companies had fewer than 10 employees at the time of award, this figure dropped to 20 percent at the time TABLE F-2 Distribution of Total Sales Dollars, by Range and Phase, Reported by 2014 Survey Respondents Percentage of Respondents Total Sales Dollars Overall SBIR Awardees STTR Awardees None (0)
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TABLE F-4 Number of Employees at Time of Award, Reported by 2014 Survey Responding Companies Percentage of Responding Companies Overall SBIR Awardees STTR Awardees 1 3 4 0 2 7 7 7 3 or 4 18 17 29 5 to 9 19 19 17 10 to 19 19 18 26 20 to 49 21 22 11 50 to 99 9 8 11 100 or more 4 5 1 Mean 23 24 17 Median 10 10 9 N (Number of Responding Companies) 126 110 15 NOTE: In cases where company information, as opposed to individual project information, was collected, multiple responses from the same company were averaged.
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From page 374... ...
As with prior surveys, there is substantial skew in the amount of additional funding received. Fifty-nine percent of respondents reported receiving some further investment but less than $1 million, and 1 percent reported receiving $5 million or more.
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Conversely, 30 percent had entered into a strategic partnership with a major industry player, 19 percent had established one or more spin-off companies, and 8 percent had been acquired by or merged with another firm. Commercialization Assistance DoE has provided commercialization training for SBIR/STTR awardees for a number of years, through arrangements with third-party providers (see Chapter 3, "Program Initiatives")
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From page 376... ...
In another metric of the extent to which responding companies focus on marketing, less than one-half of responding companies reported employing at least one full-time marketing staff member. 15 Overview: Commercialization Data from the 2014 Survey provide useful insight into the commercialization record of SBIR/STTR companies at DoE, on a number of dimensions.
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SOURCE: 2014 Survey, Question 11. TABLE F-9 Value of Commercialization Assistance, Reported by 2014 Survey Respondents Percentage of Respondents SBIR STTR Overall Awardees Awardees Extremely valuable 1 12 0 Very valuable 27 30 7 Somewhat valuable 40 35 67 Not very valuable 19 17 27 Not at all valuable 5 6 0 N (Number of Respondents Reporting Receiving Commercialization Assistance in Connection with 101 86 15 Surveyed SBIR/STTR Award)
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QUANTITATIVE EVIDENCE THAT DOE STIMULATED TECHNOLOGICAL INNOVATION The committee also considered the question of whether DoE's SBIR and STTR program stimulated technological innovation. The congressionally mandated objective for the SBIR and STTR programs to "stimulate technological innovation" is often equated with patenting activity; however, in the context of small business, this standard metric of innovation does not capture the entire story.
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Nine percent of respondents reported receiving a TABLE F-10 Number of Patents per Company Related to All Company SBIR/STTR Awards, Reported by 2014 Survey Responding Companies Percentage of Responding Companies Number of Patents Overall SBIR Awardees STTR Awardees 0 32 34 14 1 8 9 0 2 12 11 16 3 10 9 18 4 8 7 18 5 to 9 14 13 22 10 or more 17 17 12 1 or more 68 66 86 Mean 6 6 5 Median 2 2 4 N (Number of Responding Companies) 123 109 14 NOTE: In cases where company information, as opposed to individual project information, was collected, multiple responses from the the same company were averaged.
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From page 380... ...
As shown in Table F-12, 73 percent of SBIR/STTR respondents overall and 88 percent of STTR respondents indicated that at least one article had been published in a scientific publication for the technology developed as a result of the surveyed project. Thirty-nine percent overall reported publishing three or more such articles.
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Linkages to university is an important component in examining evidence that DoE "stimulated technological innovation," a goal of both the SBIR and STTR programs. University connections can also benefit SBCs by giving access to technical expertise.
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In the commercialization-sensitive environment created by the BayhDole Act, SBIR and STTR awards are increasingly seen as a source of earlystage financial support for promising ideas arising from university laboratories. Further, SBIR and STTR are seen as effective tools to help universities directly address new missions in technology commercialization and regional development.
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TABLE F-13 Connections to Research Institutions (RIs) , Reported by 2014 Survey Respondents Percentage of Respondents SBIR STTR Overall Awardees Awardees The PI for this project was at the time of the project 1 0 10 an RI faculty member The PI for this project was at the time of the project 2 2 3 an RI adjunct faculty member Faculty member(s)
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In addition, a review of the SBIR/STTR share of overall company activities can provide insights into the degree of dependence on SBIR/STTR for individual companies. Impact on Company Formation SBIR/STTR can have a profoundly catalytic impact on company TABLE F-14 Research Institutions Mentioned by Two or More 2014 Survey Respondents Number of Mentions Lawrence Berkeley National Laboratory 10 Brookhaven National Laboratory 6 Fermi National Accelerator Laboratory 5 Argonne National Laboratory 4 University of California, Los Angeles 4 University of Colorado 4 The Ohio State University 4 University of Colorado 3 Stanford Linear Accelerator Center 3 University of Illinois 3 University of Maine 3 Thomas Jefferson National Accelerator Facility 2 Boston College 2 Case Western Reserve University 2 Montana State University 2 Georgia Institute of Technology 2 University of Texas 2 University of California, Berkeley 2 Florida State University 2 Illinois Institute of Technology 2 University of Massachusetts, Lowell 2 Massachusetts Institute of Technology 2 Arizona State University 2 University of Michigan 2 Pacific Northwest National Laboratory 2 Princeton Plasma Physics Laboratory 2 Old Dominion University 2 SOURCE: 2014 Survey, Question 72.
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. SBIR/STTR Share of R&D Effort and Company Revenues The survey asked respondents to estimate how much of their company's total R&D effort (defined as man-hours of work for scientists and TABLE F-15 Number of Academic Founders, Reported by 2014 Survey Responding Companies Number of Founders with an Percentage of Responding Companies Academic Background Overall SBIR Awardees STTR Awardees 0 32 31 40 1 40 40 42 2 17 17 16 3 5 6 1 4 4 4 0 5 or more 2 3 0 Mean 1 1 1 Median 1 1 1 N (Number of Responding Companies)
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Overall SBIR Awardees STTR Awardees Yes 12 11 20 In part 33 32 44 No 55 57 36 N (Number of Responding Companies) 133 117 16 NOTE: In cases where company information, as opposed to individual project information, was collected, multiple responses from the the same company were averaged.
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From page 387... ...
The 2014 Survey asked respondents to indicate how many SBIR/STTR awards they had received that were related to the project and technology being surveyed. As shown in Table F-20, 31 percent of respondents reported receiving no other related SBIR/STTR Phase I award related to the surveyed project.
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TABLE F-21 Additional SBIR or STTR Phase II Awards Related to the Surveyed Project, Reported by 2014 Survey Respondents Percentage of Respondents Number of Awards Overall SBIR Awardees STTR Awardees 0 37 39 25 1 or more 63 61 75 1 35 33 50 2 16 17 14 3 or 4 9 9 7 5 to 9 2 2 0 10 or more 1 1 4 Mean 1 1 1 Median 1 1 1 N (Number of Respondents) 228 200 28 SOURCE: 2014 Survey, Question 39.
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Twelve percent of respondents were age 60 or older at the time of award. TABLE F-22 Long-term Impacts on Recipient Companies, Reported by 2014 Survey Respondents Percentage of Respondents Overall SBIR Awardees STTR Awardees Had a highly positive or 61 60 67 transformative effect Had a positive effect 35 35 30 Had no effect 4 5 0 Had a negative effect 0 0 3 Had a highly negative or 0 0 0 disastrous effect Number of Respondents 248 218 30 SOURCE: 2014 Survey, Question 57.
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15 13 23 N (Number of Respondents) 255 224 31 NOTE: Values do not sum to 100 percent because multiple responses were permitted.
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Sixty-eight percent of companies reported receipt of at least one patent related to their work under SBIR/STTR contracts, while 39 percent reported receipt of at least one patent related to the surveyed project. SBIR/STTR companies participate at a high level in the standard form of technical knowledge dissemination: publishing in peer-reviewed journals.
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392 APPENDIX F Finally, some SBIR/STTR companies are closely connected to the universities. Nearly one-half of respondents reported a university connection on the surveyed project, across a number of different modalities, and 11 universities were specifically mentioned as playing a role in at least three reported projects.
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