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An Assessment of the SBIR Program at the National Science Foundation (2008)

Chapter: Appendix E: Structured Interview Guide Used in Coryell Study of Phase IIB Grants

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Suggested Citation:"Appendix E: Structured Interview Guide Used in Coryell Study of Phase IIB Grants." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.
×

Appendix E
Structured 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

Suggested Citation:"Appendix E: Structured Interview Guide Used in Coryell Study of Phase IIB Grants." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.
×

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> ________________________________________________

  1. 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>

_________________________________________________________________

________________________________________________________________

  1. 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.”

Suggested Citation:"Appendix E: Structured Interview Guide Used in Coryell Study of Phase IIB Grants." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.
×

 

Total Company Sales (in dollars)

Attributed to Internally Funded R&D or Acquired Technology

Attributed to NSF/ SBIR

Attributed 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.

Suggested Citation:"Appendix E: Structured Interview Guide Used in Coryell Study of Phase IIB Grants." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.
×

 

Est. product, service, and process sales by company

Est. royalties to company and sales of IP

Est. company R&D sales to government and industry

Total 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>

_________________________________________________________________

________________________________________________________________

  1. 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>

_________________________________________________________________

________________________________________________________________

  1. Technology Sources of Sales in Economy Please 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.

Suggested Citation:"Appendix E: Structured Interview Guide Used in Coryell Study of Phase IIB Grants." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.
×

 

Total economy sales

Attributed to company funded R&D or acquired technology

Attributed to NSF/ SBIR

Attributed 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>

_________________________________________________________________

________________________________________________________________

  1. 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>

    _________________________________________________________________

    ________________________________________________________________

  1. 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.

Suggested Citation:"Appendix E: Structured Interview Guide Used in Coryell Study of Phase IIB Grants." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.
×

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>

_________________________________________________________________

________________________________________________________________

  1. 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>

_________________________________________________________________

________________________________________________________________

Suggested Citation:"Appendix E: Structured Interview Guide Used in Coryell Study of Phase IIB Grants." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.
×
  1. 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>

  1. 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>

Suggested Citation:"Appendix E: Structured Interview Guide Used in Coryell Study of Phase IIB Grants." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.
×

Comments (Licensees, City/State, Nationality): <text>

_________________________________________________________________

________________________________________________________________

  1. 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>

_________________________________________________________________

________________________________________________________________

  1. 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>

_________________________________________________________________

________________________________________________________________

  1. 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 _____

Suggested Citation:"Appendix E: Structured Interview Guide Used in Coryell Study of Phase IIB Grants." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.
×

(Please enter numbers in table below.)

SBIR Projects

Consultant/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>

_________________________________________________________________

________________________________________________________________

  1. 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 Grants

Number of Grants

Dollar 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>

  1. 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>

Suggested Citation:"Appendix E: Structured Interview Guide Used in Coryell Study of Phase IIB Grants." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.
×
Page 326
Suggested Citation:"Appendix E: Structured Interview Guide Used in Coryell Study of Phase IIB Grants." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.
×
Page 327
Suggested Citation:"Appendix E: Structured Interview Guide Used in Coryell Study of Phase IIB Grants." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.
×
Page 328
Suggested Citation:"Appendix E: Structured Interview Guide Used in Coryell Study of Phase IIB Grants." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.
×
Page 329
Suggested Citation:"Appendix E: Structured Interview Guide Used in Coryell Study of Phase IIB Grants." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.
×
Page 330
Suggested Citation:"Appendix E: Structured Interview Guide Used in Coryell Study of Phase IIB Grants." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.
×
Page 331
Suggested Citation:"Appendix E: Structured Interview Guide Used in Coryell Study of Phase IIB Grants." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.
×
Page 332
Suggested Citation:"Appendix E: Structured Interview Guide Used in Coryell Study of Phase IIB Grants." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.
×
Page 333
Suggested Citation:"Appendix E: Structured Interview Guide Used in Coryell Study of Phase IIB Grants." National Research Council. 2008. An Assessment of the SBIR Program at the National Science Foundation. Washington, DC: The National Academies Press. doi: 10.17226/11929.
×
Page 334
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The Small Business Innovation Research (SBIR) program is one of the largest examples of U.S. public-private partnerships. Founded in 1982, SBIR was designed to encourage small business to develop new processes and products and to provide quality research in support of the many missions of the U.S. government, including health, energy, the environment, and national defense. In response to a request from the U.S. Congress, the National Research Council assessed SBIR as administered by the five federal agencies that together make up 96 percent of program expenditures.

This book, one of six in the series, reports on the SBIR program at the National Science Foundation. The study finds that the SBIR program is sound in concept and effective in practice, but that it can also be improved. Currently, the program is delivering results that meet most of the congressional objectives, including stimulating technological innovation, increasing private-sector commercialization of innovations, using small businesses to meet federal research and development needs, and fostering participation by minority and disadvantaged persons. The book suggests ways in which the program can improve operations, continue to increase private-sector commercialization, and improve participation by women and minorities.

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