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National Research Council (US) Committee for Capitalizing on Science, Technology, and Innovation: An Assessment of the Small Business Innovation Research Program; Wessner CW, editor. An Assessment of the SBIR Program at the National Science Foundation. Washington (DC): National Academies Press (US); 2008.

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An Assessment of the SBIR Program at the National Science Foundation.

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Appendix EStructured Interview Guide Used in Coryell Study of Phase IIB Grants

NSF SBIR COMMERCIAL RESULTS INTERVIEW

  1. Identifying information
    Company Name: <text>
    Current Address: <text>
    Year Company Founded: <year>
    Year of First NSF SBIR/STTR grant: <year>
    President/CEO: <text>
    Contact Name: <text>
    Title: <text>
    Telephone: <text>
    Fax: <text>
    E-mail: <text>
    Company Web address: <text>
    Date (or dates) of interview: <month xx, yyyy>
    Designated lead for marketing in co., e.g., President, Marketing VP, other: <text>
  2. Benefits
    Describe benefits to the company, derived from NSF SBIR grant(s) by checking any of the following items: <Y/N>
    Enabled research that otherwise would not have been undertaken
    Enabled significantly faster development of product or proof of concept
    Opened new market opportunities with new applications/uses for products
    Enabled access to critical private equity capital
    Enabled access to critical private debt capital
    Enabled licensing agreements for intellectual property
    Led to key strategic alliance(s) with other firm(s)
    Led to new business segments of the firm and/or spin-offs
    Enabled hiring or retention of key professionals/technical staff
    Other benefits: _____ <text> ______________(explain)
    Comments: <text> ________________________________________________
  3. Commercial Products
    Have you had commercial sales, products, processes, or services (excluding any government R&D grants) that you would attribute, directly or indirectly, to one or more NSF SBIR grants? <Y/N> Yes___ No___
    In your opinion, if there had there been no SBIR program, would the product, process, or service been developed? If so, within the same time frame? (Use table below.)
    Please list in the table below each product, service, or process developed that has generated revenues of at least $100,000, and describe each briefly under “Comments.” Please show estimates of sales for each product, service, or process, accounting accuracy not needed. (Do not include R&D or IP revenues here.)
    Product / Product Line Year SBIR Phase II Start Year First Sales Develop Anyway (Y/N) Within Same Time Frame (Y/N) Estimate Sales in Current FY Estimate Cumulative Sales
    <text> <year> <dollars> <Y/N> <Y/N> <dollars> <dollars>
    <text> <year> <dollars> <Y/N> <Y/N> <dollars> <dollars>
    Comments (including product descriptions): <text>
    _________________________________________________________________
    ________________________________________________________________
  4. Company Sales
    Please provide some information on your company sales and those sales that relate to SBIR. Please identify specific sources of revenue, and if confidential, only identify by category and not name the entity.
    List major/significant customers for NSF/SBIR-related products, services, or processes under “Comments.”
    Total Company Sales (in dollars) Attributed to Internally Funded R&D or Acquired Technology Attributed to NSF/ SBIRAttributed to Other Agency SBIR
    Total Actual Sales for Last Fiscal Year <dollars> $ amount: <dollars>% sales:$ amount: <dollars>% sales:$ amount: <dollars>% sales:
    Total of Cumulative Sales since (insert date) <dollars> $ amount: <dollars>% sales: <percentage>$ amount: <dollars>% sales: <percentage>$ amount: <dollars>% sales: <percentage>
    Comments (including revenue sources): <text>
    _________________________________________________________________
    ________________________________________________________________
    Are there any products, services, or processes in your pipeline scheduled to generate new sales within the next 12 months? If so, projected lifetime sales? <text>
    _________________________________________________________________
    ________________________________________________________________
    EXPANDED SECTION 4. Sales/Revenues (Highlighted in italic for emphasis) (Developed in response to Advisory Committee feedback and administered to first 15 companies, as well as additional companies interviewed. Shown highlighted in italics for emphasis.)
    1. Company Sales
      Please provide estimates of sales for your company in all of its parts, including all divisions and majority-owned subsidiaries. Do not include joint ventures, spin-offs, licensees, and strategic partners. Use table below. If not confidential, please enter under “Comments” the names of major/significant customers for NSF/SBIR-related products, services, or processes as well as IP recipients.
      Est. product, service, and process sales by companyEst. royalties to company and sales of IP Est. company R&D sales to government and industryTotal sales of company
      Actual sales for most recent FY <dollars> <dollars> <dollars> <dollars>
      Cumulative sales since ____ (insert year) <dollars> <dollars> <dollars> <dollars>
      Comments (including customer names): <text>
      _________________________________________________________________
      ________________________________________________________________
    2. New Sales in Economy
      Please provide some information on sales of those companies that relate to your R&D and technologies. Consider only first-tier users of your technologies, and disregard wider uses and multiplier effects. Use table below. If not confidential, please enter under “Comments” the names of firms that are included in each of category outside your company.
      Total sales of company Est. sales by joint ventures Est. sales by spin-off firms Est. sales by licensees Est. sales by other partners Total economy sales
      Actual sales for most recent FY <dollars> <dollars> <dollars> <dollars> <dollars> <dollars>
      Cumulative sales since ____ (insert year) <dollars> <dollars> <dollars> <dollars> <dollars> <dollars>
      Comments (including firm names): <text>
      _________________________________________________________________
      ________________________________________________________________
    3. Technology Sources of Sales in EconomyPlease identify funding sources of technology that generated revenues in the economy identified above, and apportion the contribution to total economy sales by each funding source category. Please list under “Comments” the SBIR agencies outside NSF that have been principal R&D funding sources.
      Total economy sales Attributed to company funded R&D or acquired technology Attributed to NSF/ SBIRAttributed to other agency SBIR Unattributed to company-performed R&D
      Actual sales for most recent FY<dollars>$ amount: <dollars>% sales:$ amount: <dollars>% sales:$ amount: <dollars>% sales:$ amount: <dollars>% sales:
      Cumulative sales since ____ (insert year)<dollars>$ amount: <dollars>% sales: <percentage>$ amount: <dollars>% sales: <percentage>$ amount: <dollars>% sales: <percentage>$ amount: <dollars>% sales: <percentage>
      Comments (including SBIR funding agencies): <text>
      _________________________________________________________________
      ________________________________________________________________
    4. Next Year
      Are there any products, services, or processes in your pipeline scheduled to generate new sales within the next 12 months? If so, what are their projected lifetime sales? <text>
      _________________________________________________________________
      ________________________________________________________________
  5. Investments:
    List sources and dollar amounts of investment capital to date that are attributable, directly or indirectly, to results gained from SBIR grants.
    Identify specific sources of investment, and if confidential, only identify by category and not name the entity.
    Source Total $ for Company NSF/SBIR $ Other SBIR $
    Friends, Family, Founders <dollars> <dollars> <dollars>
    High Net Worth Individuals—“Angels” <dollars> <dollars> <dollars>
    Organic Growth—“Bootstrapping” <dollars> <dollars> <dollars>
    Customer Funding <dollars> <dollars> <dollars>
    Strategic Partners <dollars> <dollars> <dollars>
    Venture Capital <dollars> <dollars> <dollars>
    Governmental Entities (Federal, state, local) <dollars> <dollars> <dollars>
    Initial Public Offering (IPO) <dollars> <dollars> <dollars>
    Later Stage Stock Sales <dollars> <dollars> <dollars>
    Other Entities (specify) <dollars> <dollars> <dollars>
    Total: <dollars> <dollars> <dollars>
    Comments: (Sources, including City/State) <text>
    _________________________________________________________________
    ________________________________________________________________
  6. Number of Patents:
    Total Company NSF/SBIR Related Other SBIR Related
    U.S. Issued Patents <number> <number> <number>
    Issued Foreign Patents <number> <number> <number>
    Applied for but not issued—U.S. <number> <number> <number>
    Applied for but not issued—Foreign <number> <number> <number>
    Total Patents received and applied for <number> <number> <number>
    Comments (assess strength of company IP): <text>
    _________________________________________________________________
    ________________________________________________________________
  7. Licenses/Other Strategic Alliance Agreements
    Have you licensed SBIR-related technology to other entities? <Y/N> Yes__ No____
    1. Number of Licensing Agreements
      Total Company NSF/SBIR Related Other Agency SBIR Related
      # IP Protected Technologies Licensed <number> <number> <number>
      # of Licensing Agreements with U.S. Firms <number> <number> <number>
      # of Licensing Agreements with Foreign-Owned Firms <number> <number> <number>
      # of Marketing or Other Agreements <number> <number> <number>
      # IP sales <number> <number> <number>
    2. Dollar Value of Licensing Agreements
      Total $ for Company NSF/SBIR Related $ Other Agency SBIR Related $
      U.S. Licensing Revenues for Last Fiscal Year (Best estimate of actual, not projected) <dollars> <dollars> <dollars>
      Foreign Licensing Revenues for Last Fiscal Year (Best estimate of actual, not projected) <dollars> <dollars> <dollars>
      Cumulative Licensing & Royalty Revenue from U.S. Firms <dollars> <dollars> <dollars>
      Cumulative Licensing & Royalty Revenue from Foreign-Owned Firms <dollars> <dollars> <dollars>
      Comments (Licensees, City/State, Nationality): <text>
      _________________________________________________________________
      ________________________________________________________________
  8. Joint Ventures/Spin-offs/Acquisitions
    Has SBIR technology developed by your firm been responsible for or led to any joint ventures, spin-offs, or acquisitions involving your firm? <Y/N> Yes__ No___
    If “Yes,” provide information on related cumulative products, sales, investment, employment, and founding year date for each, if possible.
    JV/ Spin-offs/ Acquisitions Company Partner/ Spin-off Product Industry or Sector Year Venture Established or Acquired Estimated Cumulative Sales Estimated Total Investment Current # of New Jobs Created to Date
    <text> <text> <text> <year> <dollars> <dollars> <number>
    <text> <text> <text> <year> <dollars> <dollars> <number>
    <text> <text> <text> <year> <dollars> <dollars> <number>
    Comments: <text>
    _________________________________________________________________
    ________________________________________________________________
  9. Employment
    Has your company experienced an increase in the number of employees as a direct result of work related to SBIR Grants? <Y/N> Yes __ No ___
    Employment at time of first SBIR/STTR grant: <number>
    Current employment: <number>
    Comments: <text>
    _________________________________________________________________
    ________________________________________________________________
  10. University and Research Laboratory Collaborations:
    Have you or your company collaborated with any universities either in the U.S. or internationally on NSF SBIR research? <Y/N> Yes ____ No _____
    Have you or your company collaborated with any National Laboratories or private research laboratories either in the U.S. or internationally on NSF SBIR research? <Y/N> Yes ____ No _____
    (Please enter numbers in table below.)
    SBIR ProjectsConsultant/Subcontract/Other
    Current projects with collaboration (estimate number)<number>
    Previous projects with collaboration (estimate number prior to current calendar year)<number>
    Names of collaborating academic institutions on NSF research<number>
    Names of collaborating national laboratories and private research labs on NSF research<number>
    Comments: (Collaborating institutions, i.e., universities) <text>
    _________________________________________________________________
    ________________________________________________________________
  11. Grants Received
    Number and dollar amounts of SBIR Grants Received. (Use table below.)
    Number and dollar amounts of STTR Grants Received. (Use table below.)
    NSF GrantsNumber of GrantsDollar Amount
    SBIR Phase I<number><dollars>
    SBIR Phase II<number><dollars>
    Total Grants:<number><dollars>
    STTR Phase I<number><dollars>
    STTR Phase II<number><dollars>
    Total Grants:<number><dollars>
  12. Narrative questions: Open-ended opportunity to expand on questions and for unstructured feedback.
    1. Was an SBIR grant instrumental in the founding or survival of the company at any point? <text>
    2. Are individual employees within your company rewarded or formally recognized for completing proposals and receiving SBIR grants? <text>
    3. Is there anything you would like to add that has not been covered in this survey? <text>
Copyright © 2008, National Academy of Sciences.
Bookshelf ID: NBK9597

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