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



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Appendix E Structured Interview Guide Used in Coryell Study of Phase IIB Grants NSF SBIR COMMERCIAL RESuLTS INTERVIEW 1. Identifying information Company Name: Current Address: Year Company Founded: Year of First NSF SBIR/STTR grant: President/CEO: Contact Name: Title: Telephone: Fax: E-mail: Company Web address: Date (or dates) of interview: Designated lead for marketing in co., e.g., President, Marketing VP, other: 2. Benefits Describe benefits to the company, derived from NSF SBIR grant(s) by checking any of the following items: 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 

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7 APPENDIX E 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: _____ ______________(explain) Comments: ________________________________________________ 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? 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 rev- enues here.) Within Estimate Estimate Product / Year SBIR Develop Same Year First Sales in Cumulative Product Phase II Anyway Time Sales Current Sales Line Start (Y/N) Frame FY (Y/N) Comments (including product descriptions): _________________________________________________________________ ________________________________________________________________ 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 confiden- tial, only identify by category and not name the entity. List major/significant customers for NSF/SBIR-related products, services, or processes under “Comments.”

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 APPENDIX E Total Attributed to Attributed to Company Internally Funded Attributed to Other Agency Sales R&D or Acquired NSF/ SBIR SBIR (in dollars) Technology Total Actual $ amount: $ amount: $ amount: Sales for Last Fiscal Year % sales: % sales: % sales: Total of $ amount: $ amount: $ amount: Cumulative Sales since % sales: % sales: % sales: (insert date) Comments (including revenue sources): _________________________________________________________________ ________________________________________________________________ Are there any products, services, or processes in your pipeline scheduled to gen- erate new sales within the next 12 months? If so, projected lifetime sales? _________________________________________________________________ ________________________________________________________________ EXPANDED SECTION . Sales/Reenues (Highlighted in italic for emphasis) (Deeloped in response to Adisory Committee feedback and administered to first  companies, as well as additional companies interiewed. Shown highlighted in italics for emphasis.) a. Company Sales Please proide estimates of sales for your company in all of its parts, including all diisions and majority-owned subsidiaries. Do not include joint entures, 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, serices, or processes as well as IP recipients.

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9 APPENDIX E Est. product, Est. company Est. royalties to serice, and R&D sales to Total sales of company and process sales by goernment and company sales of IP company industry Actual sales for most recent FY Cumulatie sales since ____ (insert year) Comments (including customer names): _________________________________________________________________ ________________________________________________________________ b. New Sales in Economy Please proide 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 Est. sales Est. sales Est. Est. sales Total sales of by joint by spin-off sales by by other economy company entures firms licensees partners sales Actual sales for most recent FY Cumulatie sales since ____ (insert year) Comments (including firm names): _________________________________________________________________ ________________________________________________________________ c. Technology Sources of Sales in Economy Please identify funding sources of technology that generated reenues in the economy identified aboe, and apportion the contribution to total economy sales by each funding source category. Please list under “Comments” the SBIR agen- cies outside NSF that hae been principal R&D funding sources.

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0 APPENDIX E Attributed Unattributed Total to company Attributed to Attributed to to company- economy funded R&D other agency NSF/ SBIR performed sales or acquired SBIR R&D technology Actual $ amount: $ amount: $ amount: $ amount: sales for most recent % sales: % sales: % sales: % sales: FY Cumulatie $ amount: $ amount: $ amount: $ amount: sales since ____ % sales: % sales: % sales: % sales: (insert year) Comments (including SBIR funding agencies): _________________________________________________________________ ________________________________________________________________ d. Next Year Are there any products, serices, or processes in your pipeline scheduled to generate new sales within the next  months? If so, what are their projected lifetime sales? _________________________________________________________________ ________________________________________________________________ 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 cat- egory and not name the entity.

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 APPENDIX E Total $ for Source NSF/SBIR $ Other SBIR $ Company Friends, Family, Founders High Net Worth Individuals—“Angels” Organic Growth— “Bootstrapping” Customer Funding Strategic Partners Venture Capital Governmental Entities (Federal, state, local) Initial Public Offering (IPO) Later Stage Stock Sales Other Entities (specify) Total: Comments: (Sources, including City/State) _________________________________________________________________ ________________________________________________________________ 6. Number of Patents: NSF/SBIR Other SBIR Total Company Related Related U.S. Issued Patents Issued Foreign Patents Applied for but not issued —U.S. Applied for but not issued —Foreign Total Patents received and applied for Comments (assess strength of company IP): _________________________________________________________________ ________________________________________________________________

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 APPENDIX E 7. Licenses/Other Strategic Alliance Agreements Have you licensed SBIR-related technology to other entities? Yes__ No____ A. Number of Licensing Agreements Other Agency SBIR Total Company NSF/SBIR Related Related # IP Protected Technologies Licensed # of Licensing Agreements with U.S. Firms # of Licensing Agreements with Foreign-Owned Firms # of Marketing or Other Agreements # IP sales B. Dollar Value of Licensing Agreements Total $ for NSF/SBIR Related Other Agency SBIR Company $ Related $ U.S. Licensing Revenues for Last Fiscal Year (Best estimate of actual, not projected) Foreign Licensing Revenues for Last Fiscal Year (Best estimate of actual, not projected) Cumulative Licensing & Royalty Revenue from U.S. Firms Cumulative Licensing & Royalty Revenue from Foreign-Owned Firms

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 APPENDIX E Comments (Licensees, City/State, Nationality): _________________________________________________________________ ________________________________________________________________ 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? Yes__ No___ If “Yes,” provide information on related cumulative products, sales, investment, employment, and founding year date for each, if possible. JV/ Current Year Spin- Company Product Estimated Estimated # of New Venture offs/ Partner/ Industry or Cumulative Total Jobs Established Acquisi- Spin-off Sector Sales Investment Created to or Acquired tions Date Comments: _________________________________________________________________ ________________________________________________________________ 9. Employment Has your company experienced an increase in the number of employees as a direct result of work related to SBIR Grants? Yes __ No ___ Employment at time of first SBIR/STTR grant: Current employment: Comments: _________________________________________________________________ ________________________________________________________________ 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? Yes ____ No _____ Have you or your company collaborated with any National Laboratories or pri- vate research laboratories either in the U.S. or internationally on NSF SBIR research? Yes ____ No _____

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 APPENDIX E (Please enter numbers in table below.) SBIR Projects Consultant/Subcontract/Other Current projects with collaboration (estimate number) Previous projects with collaboration (estimate number prior to current calendar year) Names of collaborating academic institutions on NSF research Names of collaborating national laboratories and private research labs on NSF research Comments: (Collaborating institutions, i.e., universities) _________________________________________________________________ ________________________________________________________________ 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 Grants Number of Grants Dollar Amount SBIR Phase I SBIR Phase II Total Grants: STTR Phase I STTR Phase II Total Grants: 12. Narrative questions: Open-ended opportunity to expand on questions and for unstructured feedback. A. Was an SBIR grant instrumental in the founding or survival of the company at any point? B. Are individual employees within your company rewarded or formally recog- nized for completing proposals and receiving SBIR grants? C. Is there anything you would like to add that has not been covered in this survey?