Attachment E
OMB APPROVAL NUMBER: 0693-0009
PPS Telephone Survey
Introduction
Hello. (May I please speak with TECHNICAL CONTACT?) This is NAME, calling from Westat on behalf of the Advanced Technology Program or ATP, at the National Institute of Standards and Technology also known as NIST. The purpose of my call is to follow up on the ATP-funded project that your company [COMPANY_NAME] carried out during [PERFORMANCE_PERIOD]. The project name was [PROJECT_NAME.]
S1. Our records show that you were the contact person for this ATP project at your company. Are you (still) the appropriate person in your company to talk about the ATP project and related R&D or commercialization that has taken place since the ATP funding ended?
YES 1 (S4)
NO 2
S2. Who in your company would be able to talk about the ATP project and related R&D or commercialization that has taken place since ATP funding ended? COLLECT FIRST AND LAST NAME, COMPANY NAME AND TELEPHONE NUMBER
IF RESPONDENT INDICATES THAT TECHNOLOGY HAS BEEN SOLD TO ANOTHER COMPANY, PROBE FOR A RESPONDENT NAME AT THAT COMPANY. BE SURE TO COLLECT A FIRST AND LAST NAME, COMPANY NAME, COMPANY ADDRESS AND RESPONDENT TELEPHONE NUMBER.
S3. Can you please briefly describe the role (he/she) served on the ATP project?
GO TO INTRODUCTION TO NEW RESPONDENT
S4. GO TO RIS AND UPDATE R’S CONTACT INFORMATION: BUSINESS FAX AND E-MAIL.
S5. So that we have a better idea of who our respondents to this survey are, can you briefly describe the role you played on this ATP project?
GO TO Q1
Introduction For New Respondent
Hello. (May I please speak with NEW NAME?) This is NAME, calling from Westat on behalf of the Advanced Technology Program or ATP at the National Institute of Standards and Technology also known as NIST. The purpose of my call is to follow up on the ATP-funded project that [COMPANY_NAME] carried out during [PERFORMANCE_PERIOD]. The project name was [PROJECT_NAME.]
S6. TECHNICAL NAME indicated to us that you would be the appropriate person to talk about the ATP project and related R&D or commercialization that has taken place since the ATP funding ended. Is that correct?
YES 1 (S9)
NO 2
S7. Who would be able to talk about the ATP project and related R&D or commercialization that has taken place since ATP funding ended? COLLECT FIRST AND LAST NAME, COMPANY NAME AND TELEPHONE NUMBER.
IF RESPONDENT INDICATES THAT TECHNOLOGY HAS BEEN SOLD TO ANOTHER COMPANY, PROBE FOR A RESPONDENT NAME AT THAT COMPANY. BE SURE TO COLLECT A FIRST AND LAST NAME, COMPANY NAME, COMPANY ADDRESS AND RESPONDENT TELEPHONE NUMBER.
S8. Can you please briefly describe the role (he/she) served on the ATP project?
S9. GO TO RIS AND UPDATE CONTACT INFORMATION TO REFLECT THIS R. COLLECT BUSINESS FAX AND E-MAIL.
S10. So that we have a better idea of who our respondents to this survey are, can you briefly describe the role you played on this ATP project?
Section 1: Administrative Information
I’d like to verify the information I have in reference to your company.
Q1. Is the company name (still) [COMP_NAME]?
YES 1 (Q2)
NO 2
REFUSED 7
DON’T KNOW 8
COMP_NAME
Q1a. What is the company name?
REFUSED 7
DON’T KNOW 8
Q1b. Can you please briefly explain the change in your company name?
REFUSED 7
DON’T KNOW 8
UNIT_NAME
Q2. What is the division or unit name?
WRITE IN “NONE” IF THERE IS NOT A DIVISION OR UNIT NAME
REFUSED 7
DON’T KNOW 8
Q3. And is the address ADDRESS?
YES 1 (Q4)
NO 2
REFUSED 7
DON’T KNOW 8
Q3a. What is the company’s address?
ESTAB_ADD1
Address 1:
ESTAB_ADD2
Address 2:
ESTAB_ADD3
Address 3:
ESTAB_CITY ESTAB_STATE
City: State
ESTAB_ZIP
ZIP:
ESTAB_WEB
Q4. What is your company’s web site address?
___________________________________________________________
COMPANY DOES NOT HAVE WEB SITE 0
REFUSED 7
DON’T KNOW 8
Section 2: Technology Effort
Now I would like to talk about your company's plans to develop and commercialize the ATP project technology.
CONTINUE_RD
Q5. The ATP funding for this project ended in [PY_END]. Since that time has your company invested in continued R&D or in additional commercialization expenditures for the ATP project technology?
YES 1
NO 2 (Q16)
REFUSED 7 (Q16)
DON’T KNOW 8 (Q16)
EXPEND_CONTINUE_RD
Q6. Since the end of your ATP project funding in [PY_END], how much has your company spent on continued R&D for your ATP-funded technology? PROBE: Your best estimate will do.
$__________
THOUSANDS 1
MILLIONS 2
BILLIONS 3
NONE 4
REFUSED 7
DON’T KNOW 8
EXPEND_COMM
Q7. Since the end of your ATP project funding, how much has your company spent on commercialization and business development related to your ATP-funded technology? PROBE: Your best estimate will do.
$__________
THOUSANDS 1
MILLIONS 2
BILLIONS 3
NONE 4
REFUSED 7
DON’T KNOW 8
The next set of questions concern the source of the funds that your company invested in continued R&D of the ATP project technology after ATP funding ended. Has any of the funding for the continued R&D of the ATP project technology come from:
[Questions 8 through 15 below are from the original PPS (Prasad's write-up, reformatted):]
CONTINUE_RD_VC
Q8. Venture capital funds?
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
CONTINUE_RD_ANGEL
Q9. Private investors or "angels"?
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
CONTINUE_RD_US
Q10. Another U.S. company?
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
CONTINUE_RD_FOREIGN
Q11. A foreign (non-US) company?
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
CONTINUE_RD_SBIR
Q12. An SBIR grant?
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
CONTINUE_RD_FED
Q13. Federal programs other than SBIR or ATP?
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
CONTINUE_RD_SLG
Q14. State or local government?
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
CONTINUE_RD_DIV
Q15. Another unit of your company?
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
Section 3: Commercialization Plans
COMM_PLAN
Q16. Do you expect your company to pursue commercialization of any product, process, or service that integrates the ATP-funded technology?
YES 1 Q18
NO 2
REFUSED 7
DON’T KNOW 8
NO_COMM_PLAN
Q17. Please briefly explain why your company has no plans to pursue commercialization of the ATP technology.
GO TO SECTION 7: COMPANY CHARACTERISTICS
REV_GOODS
Q18. Since the ATP funding ended in [PY_END], has your company earned revenues from sales of goods or services that incorporate ATP-funded technology?
YES 1
NO 2 Q20
REFUSED 7 Q20
DON’T KNOW 8 Q20
REV_PROD_AMT
Q19. In the time since your ATP funding ended, how much in revenues did your company earn from selling goods or services incorporating ATP technology? PROBE: Your best estimate will do.
$__________
THOUSANDS 1
MILLIONS 2
REFUSED 7
DON’T KNOW 8
REV_ATPSALE
Q20. Since the ATP funding ended in [PY_END], has your company earned revenues from the sale of the ATP-funded technology?
YES 1
NO 2 Q22
REFUSED 7 Q22
DON’T KNOW 8 Q22
REV_ATPSALE_AMT
Q21. How much in revenues did your company earn from selling the ATP technology? PROBE: Your best estimate will do.
$__________
THOUSANDS 1
MILLIONS 2
REFUSED 7
DON’T KNOW 8
REV_SERVICES
Q22. Since the ATP funding ended in [PY_END], has your company earned revenues from providing technical R&D services based on capabilities developed during the ATP project?
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
REV_PROD_AMT_WO_ATP
Q23. Without the ATP project technology, how much in revenues do you think your company would have earned from the products or services incorporating the ATP technology (in the time since your ATP funding ended)? PROBE: Your best estimate will do.
$__________
THOUSANDS 1
MILLIONS 2
REFUSED 7
DON’T KNOW 8
PROFIT_MARGIN
Q24. What is the gross profit margin on the revenues from these sales? PROBE: Your best estimate will do.
__________ %
REFUSED 7
DON’T KNOW 8
LOB_PROFIT_MARGIN
Q25. What is your company’s typical gross profit margin on sales for this line of business? PROBE: Your best estimate will do.
__________ %
REFUSED 7
DON’T KNOW 8
SAV_PROC
Q26. In the time since your ATP funding ended, has your company realized any cost savings from new or improved production or delivery processes, through implementation of your ATP project technology?
YES 1 (Q28)
NO 2
REFUSED 7
DON’T KNOW 8
SAV_PROC_EXPECTED
Q27. Do you expect that your company will realize cost savings in the future from new or improved production or delivery processes, through implementation of your ATP project technology?
YES 1 (Q29)
NO 2 (Q29)
REFUSED 7 (Q29)
DON’T KNOW 8 (Q29)
SAV_PROC_AMT
Q28. How much in cost savings did your company realize (in the time since your ATP funding ended)? PROBE: Your best estimate will do.
$__________
THOUSANDS 1
MILLIONS 2
REFUSED 7
DON’T KNOW 8
COMM_LICENSE
Q29. Has your company licensed your ATP project technology to others?
YES 1 (Q31)
NO 2
REFUSED 7
DON’T KNOW 8
COMM_LICENSE_EXPECTED
Q30. Do you expect that your company will license your ATP project technology to others in the future?
YES 1 (Section 4)
NO 2 (Section 4)
REFUSED 7 (Section 4)
DON’T KNOW 8 (Section 4)
AFTER ALL RESPONSES IN Q30, GO TO SECTION 4.: PROJECT OUTCOMES.
ROY_LIC
Q31. In the time since your ATP funding ended, has your company received any royalties from licensing of your ATP project technology?
YES 1
NO 2 (Section 4)
REFUSED 7 (Section 4)
DON’T KNOW 8 (Section 4)
IF Q31 = 1, ASK Q32
ELSE GO TO SECTION 4.: PROJECT OUTCOMES.
ROY_LIC_AMT
Q32. How much in royalties did your company receive (in the time since your ATP funding ended)? PROBE: Your best estimate will do.
$__________
THOUSANDS 1
MILLIONS 2
REFUSED 7
DON’T KNOW 8
Section 4: Project Outcomes
Technology Diffusion
Now we’d like you to think about the types of knowledge that resulted from your ATP project.
We would like you to think of research findings as knowledge that can be written down and easily communicated to others, and research “know-how” as knowledge acquired from experience and practice that is less easily transferred.
RESULTS_DIFFUSION
Q33. To what extent would you say research findings from this project are now known to others outside your company? Would you say to a…
Large extent, 1
Moderate extent, 2
Small extent, or 3
To no extent at all? 4
REFUSED 7
DON’T KNOW 8
KNOWHOW_DIFFUSION
Q34. To what extent would you say research “know-how” from this project is now known to others outside your company? Would you say to a…
Large extent, 1
Moderate extent, 2
Small extent, or 3
To no extent at all? 4
REFUSED 7
DON’T KNOW 8
R&D Collaboration
Now please think about collaborative R&D partnerships or relationships that your company has with other organizations.
IF PROJECT IS SINGLE APPLICANT (SA), ASK Q35a.
ELSE, SKIP TO Q35b
COLLAB_RD_NEW
Q35a. Since the end of your ATP funding, has your company had any collaborative R&D partnerships or relationships with other organizations that you would say is a result of the ATP project in some way?
YES 1 (Q36)
NO 2 (Q38)
REFUSED 7 (Q38)
DON’T KNOW 8 (Q38)
COLLAB_RD_CONTINUE
Q35b. Since the end of your ATP funding, has your company continued collaborative R&D relationships with any of the organizations that were part of your ATP project?
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
COLLAB_RD_NEW
Q35c. Since the end of your ATP funding, has your company had any new collaborative R&D partnerships or relationships with other organizations that you would say is a result of the ATP project in some way?
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
IF Q35b OR Q35c = YES, CONTINUE.
ELSE, SKIP TO SECTION 5.: TECHNOLOGY COMMERCIALIZATION
Q36. Are these collaborative R&D partnerships or relationships with…
COLLAB_CORP
a. Other companies?
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
COLLAB_UNIV
b. (With) Universities?
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
COLLAB_OTH
c. (With) Other organizations such as non-profit organizations, government labs, etc.?
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
Q37. How important were the following reasons for your company’s decision to enter these R&D collaborations?
COLLAB_POOL
a. To pool resources with other firms in order to reduce the cost of R&D or achieve a greater scale of effort. Would you say this was an…
Extremely important, 1
Very important, 2
Somewhat important, or 3
Not too important reason? 4
THIS REASON IS NOT APPLICABLE TO THE COMPANY 5
REFUSED 7
DON’T KNOW 8
COLLAB_RDCOMP
b. To benefit from complementary R&D expertise and capabilities of different firms. (Would you say this was…)
EXTREMELY IMPORTANT 1
VERY IMPORTANT 2
SOMEWHAT IMPORTANT 3
NOT TOO IMPORTANT 4
THIS REASON IS NOT APPLICABLE TO THE COMPANY 5
REFUSED 7
DON’T KNOW 8
COLLAB_LEARN
c. To gain knowledge and learn from other firms. (Would you say this was…)
EXTREMELY IMPORTANT 1
VERY IMPORTANT 2
SOMEWHAT IMPORTANT 3
NOT TOO IMPORTANT 4
THIS REASON IS NOT APPLICABLE TO THE COMPANY 5
REFUSED 7
DON’T KNOW 8
COLLAB_INDOBJ
d. To address a technological problem that is common to your industry. (Would you say this was…)
EXTREMELY IMPORTANT 1
VERY IMPORTANT 2
SOMEWHAT IMPORTANT 3
NOT TOO IMPORTANT 4
THIS REASON IS NOT APPLICABLE TO THE COMPANY 5
REFUSED 7
DON’T KNOW 8
COLLAB_BUS
e. To access commercialization capabilities of other firms. (Would you say this was…)
EXTREMELY IMPORTANT 1
VERY IMPORTANT 2
SOMEWHAT IMPORTANT 3
NOT TOO IMPORTANT 4
THIS REASON IS NOT APPLICABLE TO THE COMPANY 5
REFUSED 7
DON’T KNOW 8
COLLAB_OTH
Some other reason not yet mentioned. (Would you say this was…)
COLLAB_OS
SPECIFY:
EXTREMELY IMPORTANT 1
VERY IMPORTANT 2
SOMEWHAT IMPORTANT 3
NOT TOO IMPORTANT 4
NO OTHER REASON 5
REFUSED 7
DON’T KNOW 8
Section 5: Technology Commercialization
Product and Applications
PROD_DESC
Q38. We use the term product to include both goods and services.
Please think about the product, the good or service, from your company that incorporates the ATP project technology. This product embodies either a product innovation or a process innovation from the ATP project.
Please describe for me this product from your company. Describe the product in general terms; later, we will ask you to describe specific product applications.
IF PROJECT IS JV: Please describe only your company’s product. Other JV partners will report on their products.
RESPONDENT ANSWERED THAT NO PRODUCT OR GOOD OR SERVICE
WAS DEVELOPED (EVEN WHEN THE QUESTION WAS REPEATED) 0 (Q41)
PROD_ADVAN
Q39. Compared to existing products, does this product provide…
PROD_ADVAN_FEAT
a. New features?
YES 1
NO 2
NOT APPLICABLE 3
REFUSED 7
DON’T KNOW 8
PROD_ADVAN_PERF
b. Improved performance?
YES 1
NO 2
NOT APPLICABLE 3
REFUSED 7
DON’T KNOW 8
PROD_ADVAN_COST
c. Lower cost?
YES 1
NO 2
NOT APPLICABLE 3
REFUSED 7
DON’T KNOW 8
PROD#-DESC
Q40. Now we’ll use the term product application to mean applications of your product to specific industry uses. Please describe actual product applications that your company has identified.
A. PRODUCT APPLICATION:
B. PRODUCT APPLICATION:
C. PRODUCT APPLICATION:
Strategic Partners and Customers
COMM_PARTNERS
SPART_ONPROJ
Q41. In the time since your ATP project funding ended, has your company had strategic partners for commercialization of your ATP project technology?
YES 1
NO 2 (Q43)
NOT APPLICABLE 3 (Q43)
REFUSED 7 (Q43)
DON’T KNOW 8 (Q43)
COMM_PARTNERS_NAME
Q42. Please tell me the names of your strategic partners. IF R IS HESITANT TO NAME PARTNERS, EXPLAIN THAT INFORMATION WILL ONLY BE SEEN BY ATP STAFF.
SPART#_NAME
A1. NAME OF STRATEGIC PARTNER:
A2. What is their location, that is, their city, state or country?
SPART#_CITY
CITY:
SPART#_STATE SPART#_COUNTRY
STATE: COUNTRY:
A3. I’m going to read a list of roles this strategic partner might have played in commercializing your ATP project technology. Please tell me if this strategic partner played this role.
SPART# _PD
a. Product Development?
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
SPART#_MANU
b. Manufacturing?
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
SPART#_MS
c. Marketing/Sales
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
SPART#_DIST
d. Distribution
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
SPART#_OTH
e. Any other role?
SPART#_OS
YES (SPECIFY)_____________________________________________ 1
NO 2
REFUSED 7
DON’T KNOW 8
B1. Are there any other strategic partners? COLLECT NAME OF PARTNER.
IF NO OTHER STRATEGIC PARTNERS, SKIP TO Q43.
B2. What is their location, that is, their city, state or country?
CITY:
STATE: COUNTRY:
B3. I’m going to read a list of roles this strategic partner might have played in commercializing your ATP project technology. Please tell me if this strategic partner played this role.
a. Product Development?
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
b. Manufacturing?
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
c. Marketing/Sales
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
d. Distribution
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
e. Any other role?
YES (SPECIFY)_____________________________________________ 1
NO 2
REFUSED 7
DON’T KNOW 8
C1. Are there any other strategic partners? COLLECT NAME OF PARTNER.
IF NO OTHER STRATEGIC PARTNERS, SKIP TO Q43.
C2. What is their location, that is, their city, state or country?
CITY:
STATE: COUNTRY:
C3. I’m going to read a list of roles this strategic partner might have played in commercializing your ATP project technology. Please tell me if this strategic partner played this role.
a. Product Development?
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
b. Manufacturing?
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
c. Marketing/Sales
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
d. Distribution
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
e. Any other role?
YES (SPECIFY)_____________________________________________ 1
NO 2
REFUSED 7
DON’T KNOW 8
COMM_CUSTOMERS
Q43. In the time since your ATP project funding ended, has your company had key customers for product applications incorporating your ATP project technology? Please consider both internal business unit customers and external customers.
YES 1
NO 2
NOT APPLICABLE 3
REFUSED 7
DON’T KNOW 8
IF Q43 = 1, CONTINUE.
ELSE (IF Q29 = 1 SKIP TO Q45, OTHERWISE SKIP TO SECTION 6.: POST PROJECT DEVELOPMENTS)
COMM_CUSTOMERS_STATUS
Q44. Can you please tell me the names of your key customers?
KEYCUST#_NAME
A1. NAME OF KEY CUSTOMER:
A2. What is their location, that is, their city, state or country?
KEYCUST#_CITY
CITY:
KEYCUST#_STATE KEYCUST#_COUNTRY
STATE: COUNTRY:
KEYCUST#_PROD
A3. Please describe how this key customer has used product applications incorporating your ATP project technology.
B1. Is there another key customer? COLLECT NAME. IF NO OTHERS: IF Q29 = 1 SKIP TO Q45, OTHERWISE SKIP TO SECTION 6.: POST PROJECT DEVELOPMENTS.
NAME:
B2. What is their location, that is, their city, state or country?
CITY:
STATE: COUNTRY:
B3. Please describe how this key customer has used product applications incorporating your ATP project technology.
C1. Is there another key customer? COLLECT NAME. IF NO OTHERS: IF Q29 = 1 SKIP TO Q45, OTHERWISE SKIP TO SECTION 6.: POST PROJECT DEVELOPMENTS.
NAME:
C2. What is their location, that is, their city, state or country?
City:
State: Country:
C3. Please describe how this key customer has used product applications incorporating your ATP project technology.
IF Q29= 1, SKIP TO Q45.
ELSE OTHERWISE SKIP TO SECTION 6.: POST PROJECT DEVELOPMENTS
Licensors
Q45. You mentioned earlier that you had licensed the ATP project technology. Please tell me the names of the licensors of your ATP project technology.
LIC#_NAME
A1. (What is the name of the first licensor?)
A2. What is their location, that is, their city, state or country?
LIC#_CITY
CITY:
LIC#_STATE LIC#_COUNTRY
STATE: COUNTRY:
LIC#_TYPE
A3. Is this license…
Exclusive or 1
Non-exclusive? 2
REFUSED 7
DON’T KNOW 8
B1. Are there any other licensors? COLLECT NAME OF LICENSOR.
IF NO OTHER, SKIP TO SECTION 6.: POST PROJECT DEVELOPMENTS.
B2. What is their location, that is, their city, state or country?
CITY:
STATE: COUNTRY:
B3. Is this license…
Exclusive or 1
Non-exclusive? 2
REFUSED 7
DON’T KNOW 8
C1. Are there any other licensors? COLLECT NAME OF LICENSOR.
IF NO OTHER, SKIP TO SECTION 6.: POST PROJECT DEVELOPMENTS.
C2. What is their location, that is, their city, state or country?
CITY:
STATE: COUNTRY:
C3. Is this license…
Exclusive or 1
Non-exclusive? 2
REFUSED 7
DON’T KNOW 8
Section 6: Post-Project Developments
PROJ_AWDS
Q46. Since the end of your ATP funding, has your company received any scientific or industry awards related to your ATP project?
YES 1
NO 2 (Q47)
REFUSED 7 (Q47)
DON’T KNOW 8 (Q47)
Q46a. Please describe any awards that your company has received.
AWD#_TTL
1a. TITLE:
AWD#_YR
1b. YEAR OF AWARD:
AWD#_ORG
1c. AWARDING ORGANIZATION:
AWD#_TYPE
1d. Would you say this award is for…
scientific or technical achievement or 1
business or industry achievement? 2
REFUSED 7
DON’T KNOW 8
2a. Are there any other awards? IF NO, SKIP TO Q47)
TITLE:
2b. YEAR OF AWARD:
2c. AWARDING ORGANIZATION:
2d. Would you say this award is for…
scientific or technical achievement or 1
business or industry achievement? 2
REFUSED 7
DON’T KNOW 8
3a. Are there any other awards? IF NO, SKIP TO Q47)
TITLE:
3b. YEAR OF AWARD:
3c. AWARDING ORGANIZATION:
3d. Would you say this award is for…
scientific or technical achievement or 1
business or industry achievement? 2
REFUSED 7
DON’T KNOW 8
COMM_ACTIVE
Q47. Since the end of your ATP funding, how active has your company been in pursuing efforts to commercialize your ATP project technology? Would you say it’s been…
Extremely active, 1
Very active, 2
Somewhat active, or 3
Not too active? 4
REFUSED 7
DON’T KNOW 8
Q48. How important have the following factors been in determining progress toward commercialization of your ATP project technology?
COMM_CORPINT
a. Maintaining corporate commitment and interest. Would you say this factor has been…
Extremely important. 1
Very important. 2
Somewhat important, or 3
Not too important? 4
REFUSED 7
DON’T KNOW 8
COMM_TECHBARR
b. Overcoming technical barriers. (Would you say this factor has been…)
EXTREMELY IMPORTANT 1
VERY IMPORTANT 2
SOMEWHAT IMPORTANT 3
NOT TOO IMPORTANT 4
REFUSED 7
DON’T KNOW 8
COMM_IDMKT
c. Identifying markets or customers. (Would you say this factor has been…)
EXTREMELY IMPORTANT 1
VERY IMPORTANT 2
SOMEWHAT IMPORTANT 3
NOT TOO IMPORTANT 4
REFUSED 7
DON’T KNOW 8
COMM_ALTTECH
d. Staying ahead of competing alternative technologies. (Would you say this factor has been…)
EXTREMELY IMPORTANT 1
VERY IMPORTANT 2
SOMEWHAT IMPORTANT 3
NOT TOO IMPORTANT 4
REFUSED 7
DON’T KNOW 8
RECENT_EVENTS
Q49. Since the end of your ATP funding, have any of the following significant events occurred at your company? CIRCLE ALL THAT APPLY.
SIG_EVENT_TOP
a. Has there been a change in company top management?
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
SIG_EVENT_DIR
b. (Has there been) a change in strategic direction of the company?
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
SIG_EVENT_OWN
c. (Has there been) a change in company ownership?
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
SIG_EVENT_RESTRUC
d. (Has there been) a company re-structuring?
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
SIG_EVENT_MERGER
e. (Has there been ) a company merger or acquisition activity?
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
SIG_EVENT_DOWN
f. (Has there been) business difficulty and/or downsizing?
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
SIG_EVENT_OTH
g. Has there been any other significant event?
SIG_EVENT_OS
YES (SPECIFY)______________________________________________ 1
NO 2
REFUSED 7
DON’T KNOW 8
COMP_INV_INDIV
INV_INDIV
Q50. In the time since the end of your ATP funding, has your company received equity investment from individual outside investors, for example, “angel” investors”?
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
COMP_INV_VC
INV_VC
Q51. (In the time) since the end of your ATP funding, has your company received equity investment from venture capital?
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
COMP_INV_CORP
INV_CORP
Q52. (In the time) since the end of your ATP funding, has your company received equity investment from other companies?
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
Now we have a couple of questions about your overall goals and achievements to date.
OUTCOMES_RES
SAT_RESEARCH
Q53. Overall, how satisfied are you with research achievements and outcomes from your ATP project to date? Would you say you are…
Very satisfied, 1 (Q55)
Satisfied, 2 (Q55)
Neutral, 3 (Q55)
Dissatisfied, or 4
Very dissatisfied? 5
REFUSED 7 (Q55)
DON’T KNOW 8 (Q55)
DISSAT_RESEARCH
Q54. Why are you dissatisfied with the research achievements and outcomes from your ATP project? PROBE: Any other reasons?
OUTCOMES_COMM
SAT_COMMCRL
Q55. Overall, how satisfied are you with commercialization achievements and outcomes from your ATP project to date? Would you say you are…
Very satisfied, 1 (Section 7)
Satisfied, 2 (Section 7)
Neutral, 3 (Section 7)
Dissatisfied, or 4
Very dissatisfied? 5
REFUSED 7 (Section 7)
DON’T KNOW 8 (Section 7)
DISSAT_COMMCRL
Q56. Why are you dissatisfied with the commercialization achievements and outcomes from your ATP project? PROBE: Any other reasons?
Section 7: Company Characteristics
Finally we would like to get some background information on your company. Whenever I say “your company” I am referring to [COMP_NAME].
COMP_FORM
Q57. Would you say your company is a…
Sole proprietorship, 1
Partnership, 2
Limited liability company (LLC), or 3
Corporation? 4
REFUSED 7
DON’T KNOW 8
COMP_MULTI_ESTAB
Q58. Does your company currently have more than one business location?
YES 1
NO 2
REFUSED 7
DON’T KNOW 8
IF Q57 = 4 (CORPORATION) CONTINUE. ELSE SKIP TO Q61
COMP_PUB
Q59. Is your company a public company, that is, is the company stock publicly traded?
YES 1
NO 2 (Q60)
REFUSED 7 (Q60)
DON’T KNOW 8 (Q60)
COMP_PUB_TICKER
Q59a. What is the stock ticker symbol for your company?
(Q61)
REFUSED 7 (Q61)
DON’T KNOW 8 (Q61)
COMP_PARENT
Q60. Is your company wholly- or majority-owned by another company, that is, does your company have a parent company?
YES 1
NO 2 (Q61)
REFUSED 7 (Q61)
DON’T KNOW 8 (Q61)
COMP_PARENT_NAME
Q60a. What is the name of your parent company?
REFUSED 7
DON’T KNOW 8
COMP_PUBPARENT
Q60b. Is your parent company a public company, that is, is the parent company stock publicly traded?
YES 1
NO 2 (Q60d)
REFUSED 7 (Q60d)
DON’T KNOW 8 (Q60d)
COMP_PARENT_TICKER
Q60c. What is the stock ticker symbol for your parent company?
(Q61)
REFUSED 7 (Q61)
DON’T KNOW 8 (Q61)
COMP_PARENT_REVENUE
Q60d. What were total company revenues for your parent company last year? PROBE: Your best estimate will do.
$__________
THOUSANDS 1
MILLIONS 2
BILLIONS 3
REFUSED 7
DON’T KNOW 8
Employment Information
COMP_EMPLOY
Q61. How many employees did your company have last year? Please include both full-time and part-time employees. PROBE: Your best estimate will do.
__________ TOTAL EMPLOYEES
REFUSED 7
DON’T KNOW 8
COMP_EMPLOY_RD
Q62. How many employees at your company worked in R&D last year? Please include both full-time and part-time employees. PROBE: Your best estimate will do.
__________ R&D EMPLOYEES
REFUSED 7
DON’T KNOW 8
Financial Information
The next questions are about financial information for your company, [COMP_NAME]. We’d like to have this information as it was presented in your last fiscal year report.
COMP_FISCALYR
Q63. What was the closing date for your last fiscal year report?
____ ____ / ____ ____ / ____ ____ ____ ____
MONTH DAY YEAR
REFUSED 7
DON’T KNOW 8
COMP_REVENUE
Q64. Including all sources of revenue such as sales, licensing, research contracts, grants, etc., what were total company revenues for the last fiscal year? PROBE: Your best estimate will do.
$__________
THOUSANDS 1
MILLIONS 2
BILLIONS 3
REFUSED 7
DON’T KNOW 8
COMP_RD
Q65. What were total R&D expenditures at your company for the last fiscal year? PROBE: Your best estimate will do.
$__________
THOUSANDS 1
MILLIONS 2
BILLIONS 3
REFUSED 7
DON’T KNOW 8
IF Q59 = 1 (Publicly traded), SKIP TO ALTERNATIVE RESPONDENTS.
ELSE, CONTINUE.
COMP_RD
COMP_NI
Q66. What was your company’s Net Income, that is, income after taxes, last fiscal year? PROBE: Your best estimate will do.
$__________
THOUSANDS 1
MILLIONS 2
BILLIONS 3
REFUSED 7
DON’T KNOW 8
Section 7: Alternative Respondents
As you may or may not know, part of the cooperative agreement with ATP was to complete survey reports like this. Another survey will take place in two years.
Should we be unable to locate you in two years, can you please provide me with the names of at least two individuals who could answer questions like the ones I asked you today?
Alternative Respondent #1
Name:
Company:
Phone Number:
E-mail address:
Address:
Role related to ATP project:
Alternative Respondent #2
Name:
Company:
Phone Number:
E-mail address:
Address:
Role related to ATP project:
Section 8: Research Outputs
Publications and Patents
We are interested in papers and publications authored by your company’s staff and patents filed by your company, as a result of your ATP-funded project.
We have developed a website where you can easily review the information we currently have and make any necessary changes or additions.
If you could please visit the website in the next week and update the information, we would appreciate it. The website address is http://www.something.com and your user name and password are SOMETHING.
| File Type | application/msword |
| File Title | PPS Phone |
| Author | Jennifer O'Brien |
| Last Modified By | Ami Carbaugh |
| File Modified | 2006-09-11 |
| File Created | 2006-09-11 |