2013 Microbusiness Innovation Science and Technology Survey

Attachment A
MIST Questionnaire

1

2013 Microbusiness Innovation
Science and Technology Survey
Dear Small Business Owner,

A. OVERALL COMPANY INFORMATION

You are part of a vital but often unrecognized part of the
economy – the small business community – and the
National Science Foundation (NSF) wants to hear from
you.

If you have more than one business, please answer
only for the business named above.

NSF is an independent federal agency tasked with
examining U.S. competitiveness in science, engineering,
technology, and R&D. We are surveying all types of
businesses in the U.S. to measure the extent of
innovation and research and development (R&D)
activities in our nation. This survey focuses on the
smallest businesses in the U.S. Your answers will help
policymakers address issues such as how small
businesses are affected by the rapid changes in our
economy and what the smallest businesses are doing to
be competitive.

1. Did your company have any revenues or grants in
2013?
Yes

Go to Question 2.

No

Go to Question 47.

2. Did another company own more than 50 percent of
your company at any time during 2013?

Your responses are confidential under law. See the
statement at the bottom of this page for more details.

Yes

Go to Question 47.

No

Go to Question 3.

Contact our contractor toll-free at 888-225-0236 OR by email at [email protected].
3. How important to you are each of the following
reasons for owning your company?

Thank you for contributing to our study of our nation’s
smallest businesses.

Very
Somewhat
Not
important important important

This information is solicited under the authority of the
National Science Foundation Act of 1950, as amended.
All information you provide is protected under the NSF Act
and Title 26, U.S. Code and will be used only for
statistical purposes. Any information publicly released
(such as statistical summaries) will be in a form that does
not personally identify you or your company. Your
response is voluntary and failure to provide some or all of
the requested information will not in any way adversely
affect you or your company. Pursuant to 5 CFR 1320.5(b),
an agency may not conduct or sponsor, and a person is
not required to respond to an information collection unless
it displays a valid OMB control number. The OMB control
number for this collection is 3145-XXXX (exp. [DATE]).
Public reporting burden for this collection of
information is estimated to average 30 minutes per
response, including the time for reviewing instructions.
Send comments regarding this burden estimate and any
other aspect of this collection of information, including
suggestions for reducing this burden, to: Suzanne
Plimpton, Reports Clearance Officer, Office of the
General Counsel, National Science Foundation, Arlington,
VA 22230.

a. Wanted to be my
own boss
b. Flexible hours
c. Opportunity for
greater income
d. Best avenue for my
ideas/goods/
services
e. Had to start
company to find
work

f. Please list any other important reasons for
owning your own company:

2

4. For the pay period including March 12, 2013, how
many people worked for your company, including
those paid through grants? Include both full-time
and part-time workers as well as yourself. Please
count each person only once.

8. What year did your company start? Give the year
your company first obtained an EIN (Employer
Identification Number) or first filed a tax return,
whichever is earlier. Please answer for the firm
identified.

Number
of people

Owners

Year company started

a. Owners who received a W-2 issued by
your company for salary or wages

9. Please give a brief description of your company’s
industry.

b. Other owners (paid or unpaid)
Non-owners

c. Employees who received a W-2 issued
by your company for salary or wages
d. Individuals who received payment in
other ways (e.g., contractors/
consultants/ temporary workers who
received a 1099 or payment from
another company)
e. Unpaid individuals who worked for your
company (e.g., interns, friends, family
members)

B. FINANCIAL INFORMATION
10. What were your company’s 2013 revenues,
including income from grants? Please round to
the nearest one thousand dollars. Your best
estimate is fine.

5. Not counting those listed in question 4, which of
the following were key people you used as
advisors for your company during the past year?
Yes

No

$

a. Scientist or technical expert

,000

2013 revenues and grants

b. Financial expert or accountant
c. Business expert

11. Approximately what share of your company’s
2013 revenues and grants came from the
following? If none, enter zero; total should equal
100%.

d. Marketing expert
e. Individual who offered general
advice
f. Legal, regulatory, or compliance
expert
g. Other
(specify):
6. Did your company hire a full-time or part-time
employee within the last three years?
Yes
Go to Question 7.
No

a. Selling goods to customers,
including other companies

%

b. Selling services to customers,
including other companies

%

c. Income from grants

%

d. Other (specify):

%

Go to Question 8.
TOTAL

100%

7. Please answer the following about your most
recently hired employee.
a. He/she performs the same tasks
we performed before hiring
him/her.
b. We hired him/her to get skills we
otherwise would not have had.
c. We hired him/her to take over
certain tasks.

Yes

12. Approximately what percent of your revenues for
2013, excluding grants, were from customers in
the United States and its territories? If none,
enter zero.

No

% Percent of revenues

3

13. In 2013, did your company earn any revenue
from customers in the following locations?
Yes

17. During the last three years, did your company do
each of the following regarding the goods or
services your company offers? Do not include
adaptation or customization of your company’s
goods or services for a specific client’s needs.

No

a. Within your state
b. Other states or U.S. territories
c. Canada or Mexico

Yes

d. Other countries

No

Does
not
apply

a. Offered a new good or
service that no company
has ever offered before

14. During 2013, did you use any of your personal
funds (e.g., credit cards, home equity loan,
personal savings) for your company?

b. Offered a new good or
service that your company
has never offered before

Yes
No

c. Improved good’s
performance by making
changes in materials,
equipment, components, or
software

15. During 2013, did your company try to get funding
(e.g., loans, investments, or gifts) from the
sources in the list below?

d. Developed a new use for
one of your goods or
services

Yes,
tried but
Yes,
did not
got
get
No, did
funding funding not try

e. Added a new feature to one
of your goods or services

a. Banks or credit unions

f. Made it easier for customers
to use one of your goods or
services (e.g., easier
access, more user friendly)

b. Other companies as
investors
c. Family and friends
d. Angel or venture capital
funding (financial
support in return for
equity or stock in your
company)

18. During the last three years, did your company do
each of the following regarding the goods or
services your company offers?
Yes

e. Federal government’s
Small Business
Technology Transfer
Program (STTR) or
Small Business
Innovation Research
Program (SBIR)

a. Used a new way of
purchasing, accounting,
computing, maintenance,
inventory control, or other
support activities
b. Reduced costs by changing
the way you distribute one
of your goods or services

f. Other (specify):

c. Upgraded techniques,
equipment, or software to
significantly improve the
goods or services you offer
d. Made significant
improvements in techniques
or processes by increasing
automation, decreasing
energy consumption, or
using software

C. INNOVATION

e. Decreased production costs
by improving the materials,
components, or software

16. Did your company sell any goods or offer any
services during the last three years?
Yes

Continue with Question 17 in the
next column.

No

Go to Question 20.

f. Changed methods to deliver
your company’s goods or
services faster or more
reliably
4

No

Does
not
apply

19. During the last three years, did your company do
each of the following related to marketing or
design?
Yes

D. INTELLECTUAL PROPERTY

Does
not
No apply

21. How many U.S. patent applications, if any, does
your company currently have pending? If none,
enter zero.

a. Made significant changes to the
design or packaging of a good
or service other than changes
that alter how it is used

Number of patent applications
currently pending

b. Promoted your company’s
goods or services in a new way
(e.g., the first time use of a new
type of advertising, a new brand
image, introduction of loyalty
cards)

22. How many U.S. patents does your company
currently own? If none, enter zero.

c. Used new ways to sell your
company’s goods or services
(e.g., first time use of
franchising or distribution
licenses, direct selling,
exclusive retailing, new
concepts for presentation of
your goods or services)

Number of patents owned

d. Used new pricing methods (e.g.,
first-time use of pricing by
demand, discount system)

23. Please indicate whether or not your company did
each of the following during the last three years.

e. Created or opened up a new
market for your company’s
goods or services
f. Told customers about a new
way they can use your
company’s goods or services

Yes

a. Transferred intellectual property
(IP) to others not owned by your
company through participation
in technical assistance or "know
how" agreements
b. Received IP from others not
owned by your company
through participation in
technical assistance or "know
how" agreements

20. During the last three years, did your company do
each of the following related to your
organization?
Yes

Does
not
No apply

c. Participated in cross-licensing
agreements in which two or
more parties grant a license to
each other for the use of the
subject matter claimed in one or
more of the patents owned by
each party

a. Implemented new methods to
improve internal processes or
deliver goods or services (e.g.,
introduce supply chain
management systems or
business re-engineering, lean
production and quality
management systems )

d. Allowed free use of patents or
other IP owned by your
company (e.g., allowing free
use of software patents by the
open source community)

b. Applied new methods or
processes to improve workplace
organization (e.g., education
and training systems to improve
learning and sharing, implement
changes in workplace
responsibilities or authority of
managers and employees)

e. Made use of open source
patents or other freely available
IP not owned by your company

c. Started a new way of interacting
with other firms or organizations
(e.g., alliances, partnerships,
outsourcing, subcontracting)
5

Does
not
No apply

24. During the last three years, how important were the following for protecting your company’s intellectual
property? Mark one for each row.
Very
important

Moderately
important

A little
important

Not at all
important

Does not
apply

a. Utility patents (patents for inventions)
b. Design patents (patents for appearance)
c. Trademarks
d. Copyrights
e. Trade secrets
f. Nondisclosure agreements
g. Other (specify):

E. SCIENTIFIC AND ENGINEERING
RESEARCH AND DEVELOPMENT (R&D)

27. What was the total cost in thousands in 2013 for
all the R&D activities you answered “Yes” to in
Question 25? Your best estimate is fine. Please
include all costs:
• Salaries, wages, fringe benefits
• Equipment, materials, supplies, software
• Rent, utilities
• Consultants, contractors

25. During 2013, did your company do any of the
following R&D activities? Include activities that:
• Your company performed
• Others paid your company to do
• Your company paid others to do
Yes

No

$

a. Conducted work that might lead
to a patent
b. Developed and tested
prototypes that were derived
from scientific research or
technical findings

$

d. Applied scientific or technical
knowledge in a way that has
never been done before

$

f. Conducted work to discover
previously unknown scientific
facts, structures, or relationships

26. Did you answer “Yes” to any activities in
Question 25?

Go to Question 33.

Costs of R&D services
purchased from others

,000

Costs of R&D services
you performed

30. Of the total R&D amount you reported in
Question 29, what percent was for each of the
following types of costs?

g. Conducted work to extend the
understanding of scientific facts,
relationships or principles in
ways that could be useful to
others

No

,000

29. To calculate the costs of R&D services you
performed, please subtract Question 28 from
Question 27 and enter the amount here.

e. Created new scientific or
technical solutions that can be
generalized to other situations

Continue with Question 27 in the
next column.

Total cost for R&D activities
reported in Question 25 for
2013

28. How much of the amount in Question 27 was for
purchasing R&D services from others? Your
best estimate is fine.

c. Produced findings that could be
published in academic journals
or presented at scientific
conferences

Yes

,000

6

a. Salaries, wages, and fringe
benefits for company’s employees

%

b. Equipment

%

c. Software purchases and licenses

%

d. Other costs (e.g., consultants,
contractors, travel, rent)
TOTAL

%
100%

31. Of the total R&D amount you reported in
Question 29, how much was paid for by the
following sources?

32. How many people worked on the R&D activities
you reported in Question 25 for the pay period
that included March 12, 2013?
Number
of people

a. Your company

%

b. Another U.S. company

%

a. Owners

c. U.S. university or college

%

b. Employees who received a W-2
issued by your company for salary or
wages

d. U.S. non-profit organization

%

e. U.S. Federal government
(including R&D grants)

c. Other paid workers (e.g., contractors,
consultants, temporary workers)

%

d. Unpaid workers

f. U.S. state or local government
(not including state universities)

%

e. Total

g. Other (specify):

%
TOTAL

100%

F. YOUR COMPANY STRATEGIES
33. How important is each of the following in how your company seeks a competitive advantage?
Very
important

Moderately
important

A little
important

Not at all
important

Does not
apply

A little
important

Not at all
important

Does not
apply

a. Your low prices
b. The quality of your goods/services
c. Your unique goods/services
d. The convenience you offer
e. Your reputation
f. Other (specify):

34. How important is each of the following to your company’s strategy?
Very
important

a. Updating or improving an existing good or service
b. Developing a good or service that will save
customers’ money
c. Developing a good or service that will improve
current customers’ experience
d. Having a formal business strategic plan in writing
e. Partnerships with other businesses
f. Partnerships with one or more universities
g. Providing individualized goods or services

7

Moderately
important

35. During 2013, how important was each of the following in moving your company forward?
Very
important

Moderately
important

A little
important

Not at all
important

Does not
apply

a. Cutting costs enough to make a profit
b. Keeping up with demands for your goods or
services
c. Finding new customers
d. Keeping current customers
e. Finding people with the right job skills
f. Getting access to funds
g. Getting access to facilities and equipment
36. Where would you like your company to be in five years? Check all that apply.
Company will have a larger number of employees
Company will have about the same number of employees as it has currently
Company will be purchased by another company
Uncertain
Other
(specify):

39. What is the status of the previous company you
started?

G. ABOUT THE OWNER

Yes

If your company has more than one owner, answer
for the owner with the most responsibility for the
direction of the company.

a. Company is still in business and
I still own it
b. Company is no longer in
business
c. Company was purchased by
another company

37. Approximately, how many hours each week do
you work at this company? Include all hours
whether paid or unpaid.

d. Company was purchased by
another individual
e. Other
(specify):

Number of hours

40. What is the highest level of education you
completed?
38. Is this the first company you started?
Not applicable: I did
not start this company

Less than high school
High school graduate

Go to Question 40.

Some college

Yes
No

Bachelor’s degree
Master’s degree

Continue with Question 39.

Professional degree (e.g., JD, LLB, MD,
DDS, DVN)
Research doctorate (e.g., PhD, DSc, EdD)
Other
(specify):
8

No

41. What was the major field of study for your
highest degree?

H. CONTACT INFORMATION

Business management/administration

47. Please provide the following information for the
person we may contact regarding the answers to
this survey.

Communication
Computer science
Education (includes research and
administration, and teaching)
Engineering

Name

Humanities (includes history, foreign
languages and literature, and letters)
Life sciences (includes agricultural
sciences/natural resources, biological/
biomedical sciences and health sciences)

Title

Mathematics
Physical sciences (includes astronomy,
atmospheric science and meteorology,
chemistry, geological and earth sciences,
ocean/marine sciences, and physics)

Telephone

Extension

Fax

Extension

Psychology
Social sciences

E-mail address

Other
(specify):

48. Enter any comments below.

42. Are you Hispanic or Latino?
Yes
No

43. What is your race? Please select one or more.
American Indian or Alaska Native
Native Hawaiian or other Pacific Islander
Asian
Black or African-American
White

44. Are you male or female?
Male
Female

45. Where were you born?
Inside the U.S.

Thank you for your
participation in this survey.

Outside the U.S.

46. Are you a U.S. citizen?
Yes
No
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