Appendix B
Fast Track/Phase II Enhancement Firm Survey Summary of Responses

RESULTS AND RELATED NOTES APPEAR IN BOLD. (NOTES TO PROGRAMMER: QUESTIONS IN ITALICS SHOULD BE AUTOFILLED FROM FIRM DATABASE OR PRIOR SURVEY. QUESTIONS IN TYPEWRITER FONT SHOULD NOT BE DISPLAYED IF PREVIOUS FIRM SURVEY WAS COMPLETED. NOTE: NO QUESTION NUMBERS ARE DISPLAYED ON THE SURVEY.)


Introduction

This survey is a continuation of a major study commissioned by the U.S. Congress to review operations of SBIR grant programs at federal agencies. The assessment, by the National Research Council, seeks to determine the impact of DoD SBIR program initiatives, and to investigate ways in which the programs could be improved.


FIRM Survey

If your firm is registered in the DoD SBIR/STTR Submission website, the information filled in below is based on your latest update as of January 2006 on that site. Additional completed information, if any, is from the NAS SBIR survey that you completed last year. Since you may have entered this information many months ago, you may edit this information to make it correct. In conjunction with that information, the additional questions will help us understand how the Fast Track and Phase II Enhancement programs impact the SBIR program and how they can be improved.



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Appendix B Fast Track/Phase II Enhancement Firm Survey Summary of Responses RESULTS AND RELATED NOTES APPEAR IN BOLD. (NOTES TO PROGRAMMER: QUESTIONS IN ITALICS SHOULD BE AUTOFILLED FROM FIRM DATABASE OR PRIOR SURVEY. QUESTIONS IN TYPEWRITER FONT SHOULD NOT BE DISPLAYED IF PREVIOUS FIRM SURVEY WAS COMPLETED. NOTE: NO QUESTION NUMBERS ARE DISPLAYED ON THE SURVEY.) Introduction This survey is a continuation of a major study commissioned by the U.S. Congress to review operations of SBIR grant programs at federal agencies. The assessment, by the National Research Council, seeks to determine the impact of DoD SBIR program initiatives, and to investigate ways in which the programs could be improved. FIRM Survey If your firm is registered in the DoD SBIR/STTR Submission website, the information filled in below is based on your latest update as of January 2006 on that site. Additional completed information, if any, is from the NAS SBIR survey that you completed last year. Since you may have entered this information many months ago, you may edit this information to make it correct. In conjunction with that information, the additional questions will help us understand how the Fast Track and Phase II Enhancement programs impact the SBIR program and how they can be improved. 95

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APPENDIX B 96 Part A 1. Company Name: ____________________________________________ 2. Street Address: _____________________________________________ 3. City: _____________________________ State: ____ Zip: _________ 4. Company Point of Contact: ____________________________________ 5. Company Point of Contact Email: _______________________________ 6. Company Point of Contact Phone: (____) ____ - ______ Ext: _________ 7. The year your company was founded: ______________ Part B 1. Was your company founded because of the SBIR Program? a. 80% No. b. 7% Yes. c. 13% Yes, In part. 2. Information on company founders. (Please enter zeros or the correct number in each pair of blocks.) 39% reported one founder; a. Number of founders. 30% two: Average was 2.1. b. Number of other companies started by one or more of the founders. Average 1.1. c. Number of founders who have a business background. 46% reported one or more. d. Number of founders who have an academic background. 60% reported one or more. 5% Unknown. 3. What was the most recent employment of the company founders prior to founding this company? (Select all that apply.) Answers exceed 100% due to multiple founders. 76% a. Other private company. 26% b. College or University. 8% c. Government. 4% d. Other.

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APPENDIX B 97 4. How many SBIR and/or STTR awards has your firm received from the Federal Government? a. Phase I: _________ What year did you receive your first Phase I Award? _______ 30% report 5 or less Phase I; 30% report greater than 20. 33% of firms received first Phase I before 1993. 28% received first Phase I after 1998. b. Phase II: ________ What year did you receive your first Phase II Award? _______ 52% report 5 or less Phase I; 28% report greater than 10. 31% of firms received first Phase I before 1993. 44% received first Phase I after 1998. 5. What percentage of your company’s growth would you attribute to the SBIR program after receiving its first SBIR award? a. 21% Less than 25%. b. 29% 25% to 50%. c. 28% 51% to 75%. d. 22% More than 75%. 6. Number of company employees (including all affiliates): a. At the time of your company’s first Phase II Award: ___ 49% report less than six; 10% report greater than 50. b. Currently: ______17% report less than six; 26% report greater than 50. 7. What Percentage of your Total R&D Effort (Man-hours of Scientists and Engineers) was devoted to SBIR activities during the most recent fiscal year?___% 39% of firms report greater than 50%. 8. What was your company’s total revenue for the last fiscal year? a. 2.8% <$100,000. b. 11% $100,000 to $499,999. c. 14.7% $500,000 to $999,999. d. 36.7% $1,000,000 to $4,999,999. e. 26.6% $5,000,000 to $19,999,999. f. 6.9% $20,000,000 to $99,999,999. g. 1.4% $100,000,000 +. h. 0% Proprietary.

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APPENDIX B 98 9. What percentage of your company’s revenues during its last fiscal year is Federal SBIR and/or STTR funding (Phase I and/or Phase II)? _______ 13% report zero. 31% report more than 50%. 10. Which, if any, of the following has your company experienced as a result of the SBIR Program? (Select all that apply.) ____ Made an initial public stock offering in calendar year Three IPO reported. (1996, 2000, 2005.) a. _____ Planned an initial public stock offering for 2006/2007. One IPO planned. b. _____ Established one or more spin-off companies. How many spin-off companies? 39 firms created 69 spin-off companies. c. 83% None of the above. 11. How many patents have resulted, at least in part, from your company’s SBIR and/or STTR awards? ______ 39% of firms reported no patents; 3% reported more than 25. Average number of patents was 4.3. The next three questions address how market analysis and sales of the commercial results of SBIR are accomplished at your company. 12. This company normally first determines the potential commercial market for an SBIR product, process or service: a. 64% Prior to submitting the Phase I proposal. b. 21% Prior to submitting the Phase II proposal. c. 14% During Phase II. d. 1% After Phase II. 13. Market research/analysis at this company is accomplished by: (Select all that apply.) a. 38% The Director of Marketing or similar corporate position. b. 11% One or more employees as their primary job.

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APPENDIX B 99 c. 44% One or more employees as an additional duty. 20% d. Consultants. 48% e. The Principal Investigator. 62% f. The company President or CEO. 8% g. None of the above. 14. Sales of the product(s), process(es) or service(s) that result from commercialising an SBIR award at this company are accomplished by: (Select all that apply.) 40% a. An in house sales force. 56% b. Corporate officers. 36% c. Other employees. 28% d. Independent distributors or other company (ies) with which we have marketing alliances. e. 26% Other company (ies), which incorporate our product into their own. f . 8% Spin off company (ies). g. 28% Licensing to another company. h. 8% None of the above. The remaining questions specifically address the DoD Fast Track and Phase II Enhancement programs. 15. With respect to DoD Fast Track Proposals: (Select all that apply.) a. 53% This firm has never submitted a DoD Fast Track SBIR proposal. b. 38% This firm has submitted DoD Fast Track SBIR proposal (s). c. 20% This firm is unlikely to submit a DoD Fast Track SBIR proposal in the future. d. 33% This firm is likely to submit future DoD Fast Track SBIR proposal (s). 16. Why have you not previously submitted a Fast Track proposal and/or why are you unlikely to submit future Fast Track proposals? (Select all that apply.) Seen only by firms, which checked 16a. and/or 16c. a. 67% Experienced or perceived difficulty in obtaining third party funding in time to meet the requirements for Fast Track. b. 21% Concern about dilution of firm equity and/or loss of control of firm. c. 16% Bureaucratic requirements of Fast Track application process.

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APPENDIX B 100 d. 2% Dissatisfaction with results of an earlier experience with Fast Track. e. 11% Indication received from government sponsor that the sponsor did not recommend Fast Track. f. 22% Perception that Fast Track does not provide sufficient benefits. g. 22% Other. (Explain briefly and/or use to briefly expand on any of the above answers._______) 17. With respect to DoD Phase II Enhancement/Plus, (Select all that apply.) a. 40% This firm has never submitted a DoD Phase II Enhancement/Plus SBIR proposal. b. 51% This firm has submitted DoD Phase II Enhancement/Plus SBIR proposal (s). c. 8% This firm is unlikely to submit a DoD Phase II Enhancement/Plus SBIR proposal in the future. d. 46% This firm is likely to submit future DoD Phase II Enhancement/Plus SBIR proposal (s). 18. Why have you not previously submitted a Phase II Enhancement/Plus proposal and/or why are you unlikely to submit future Phase II Enhancement/Plus proposals? (Select all that apply.) Seen only by firms, which checked 18a. and/or 18c. a. 39% Experienced or perceived difficulty in obtaining DoD Acquisition Program funding. b. 49% Experienced or perceived difficulty in obtaining third party private sector funding. c. 11% Concern about dilution of firm equity and/or loss of control of firm with private sector funding. d. 12% Bureaucratic requirements of Phase II Enhancement/Plus application process. e. 1% Dissatisfaction with results of an earlier experience with Phase II Enhancement/Plus. f. 10% Indication received from government sponsor that the sponsor did not recommend Phase II Enhancement/Plus. g. 8% Perception that Phase II Enhancement/Plus does not provide sufficient benefits. h. 33% Other. (Explain briefly and/or use to briefly expand on any of the above answers._______)