Small Business Innovation Research Survey

Survey Questions for SBIR
ID #

1

2

3

Logic

Item

Only
asked if
member
of
project
team.
Only
asked if
member
of
project
team and
not still
involved
in
project.
Only
asked if
member
of
project
team and
still
involved
in
project.

Are you still involved in
this project?

Freq.

Response Scale

Y/N

Variable
type/Dat
a entry
format

Question
Item Source
Material

Outputs or
Outcomes
Addressed

Binary

I-Corps
Indicators &
Monitoring
System2

N/A
(Demographics)

Who is the
corresponding contact
on this project effort
right now?

A. Principal Investigator
B. Entrepreneurial Lead
C. Mentor

Multiple
Choice

I-Corps
Indicators &
Monitoring
System2

N/A
(Demographics)

Are you continuing in
this line of research or
project effort?

A. Yes
B. No
C. I don’t know

Multiple
choice

I-Corps
Indicators &
Monitoring
System2

N/A
(Demographics)

4

Only
asked if
member
of
project
team and
project is
not
active.

(INNOVATION
PROJECTS) What was
the main reason that
you have NOT continued
this line of
research/project?

5

Only
asked if
member
of
project
team and
project is
not
active.

(RESEARCH PROJECTS)
What was the main
reason this project
ended?

A. We did not identify a large
Multiple
enough market for our
Answers,
product/technology
with text
box to
B. The time to get the technology
describe
into market was too great
C. We encountered difficulties with “other”
our technology itself
D. We failed to obtain needed
financing/ investment to
continue
E. Key personnel left company
F. Estimated costs too high
G. Patent Problems
H. Technology obsolete
I. Market needs changed
J. Costs too high (not competitive in
market place
K. Business segment in recession
L. Market was not there to being
with
A. We had problems with
intellectual property
B. Other (please describe):
C. The research achieved the
Multiple
discoveries proposed, and no
Answers, with
further avenues arising from
text box to
these discoveries merited a
describe
new proposal.
“other”
D. The research did not achieve
the proposed discoveries due
to technical or logistical
obstacles.
E. We encountered difficulties
with our research design itself

I-Corps
Indicators &
Monitoring
System2; SBIR
Common
Questions

Immediate
Outcome:
Evaluation of
commercial
potential

I-Corps
Indicators &
Monitoring
System2; SBIR
Common
Questions

Immediate
Outcome:
Evaluation of
commercial
potential

6

7

8

9

Job
Creation

Job
Creation

Job
Creation

Business
Activitie

Only
asked if
company
has been
incorpor
ated

Not counting owner(s),
as of participation in the
NSF-funded project,
how many people
worked for [NAME
BUSINESS] at the time
of the SBIR Phase II
award?

First
respons
e

Only
asked if
company
has been
incorpor
ated

Not counting owner(s),
as of participation in the
NSF-funded project,
how many people
currently work for
[NAME BUSINESS]?

Annual

Only
asked if
company
has been
incorpor
ated

Not counting owner(s),
as of participation in the
NSF-funded project,
how many people have
worked for [NAME
BUSINESS]?

Annual

Only
asked if

Which of the following
partnership activities

F. We failed to obtain further
funding to continue
G. Other research directions have
since been given higher priority
H. Other (please describe):
Full time employees***
Part time employees

Numerical:
open

*** Full time: working 35 hours or
more per week.
Please exclude contract workers
who work for the business either
full- or part-time but are not on the
business’ official payroll.
Full time employees***
Part time employees

Kauffman Firm
Survey3; I-Corps
Indicators &
Monitoring
System2

Long Term
Outcome: Job
creation

Numerical:
open

*** Full time: working 35 hours or
more per week.
Please exclude contract workers
who work for the business either
full- or part-time but are not on the
business’ official payroll.
Full time employees***
Part time employees

Kauffman Firm
Survey3; I-Corps
Indicators &
Monitoring
System2

Long Term
Outcome: Job
creation

Numerical:
open

*** Full time: working 35 hours or
more per week.
Please exclude contract workers
who work for the business either
full- or part-time but are not on the
business’ official payroll.
• Grantee is acquired by partner
company

Kauffman Firm
Survey3; I-Corps
Indicators &
Monitoring
System2

Long Term
Outcome: Job
creation

Multiple
answer

SBIR Common
Questions

Intermediate
Outcome:

s/Comm
ercializa
tion

company
has been
incorpor
ated

has your company
engaged in?

• Grantee acquires partner
company
• Grantee acquires Intellectual
property from partner company
• Grantee’s IP is acquired
• Grantee in-licenses from partner
company
• Grantee out-licenses to partner
company
• Grantee enters into a Research
& Development Agreement with
partner company
• Grantee makes an Equity
Investment in partner company
• Grantee receives and Equity
Investment from partner
company
• Grantee receives a Grant or
Award from partner company
• Grantee or Grantee’s Customer
enters into a Distribution
Agreement with partner
company
• Grantee enters into a Joint
Venture with partner company
• Grantee receives a Phase IIB
supplement based on partner
company’s investment
• Grantee receives a TECP
supplement
based on
partner company’s commercial
interest
• Other

matrix: for
any selected
response,
responders
then see drop
down menus
for “activity
status”:
(Complete,
First Contact,
or Discussion)
and a
structured
text box for $
amount
where
appropriate

Partnerships are
developed
outside academia

10

Addition
al
Resourc
es

For
commerc
ialization
projects

Have you/the grantee
(company) participated
in an IIP
Commercialization
Assistance Program?

11

Translati
on of
research
findings

Did your industrial
partner incorporate any
of your research
findings in to their
practices/manufacturin
g/business model?

12

Outputs
:
Commer
cializati
on

For
GOALI
and
other
industry
partners
hip
awards

13

Outputs
:
Commer
cializati
on

Please list any
companies that have
demonstrated interest
in partnership activities
related to your NSFfunded research. What
is the nature of the
interest?
Please list the
Commercialization
Grade. Defined below:
A. Products/processes/s
ervices based on the
grant effort are in
use by the target
consumer
population. (e.g., for
SBIR, minimum
cumulative criteria
are $1M at the 8th

A. NO
B. YES
• Dawnbreaker
• TECP
• IA
• Other
A. Yes
B. No

Binary: y/n
with drop
down
selection
options if YES

SBIR Common
Questions

Long Term
Outcome:
Development of
new businesses
and companies

Binary: y/n

SBIR Common
Questions

Intermediate
Outcome:
Partnerships are
developed
outside academia

A.
B.
C.
D.

Structured
text box , with
multiple
answer matrix
for nature of
interest

SBIR Common
Questions

Intermediate
Outcome:
Partnerships are
developed
outside academia

Multiple
choice

SBIR Common
Questions

Long Term
Outcome:
Products, services
or processes are
produced and
commercial
markets are
established

Continued Conversations
Monetary Commitment
Contractual Agreement
Other (please describe)

14

Outputs
:
Licensin
g

This
question
may be
asked
even if
no
company
has been
incorpor
ated.

anniversary of the
award, $0.5M at the
5th anniversary, and
$25K at the 3rd
anniversary).
B. Commercialization is
underway and
significant (not just
sample sales),
product income is
starting to flow.
C. Commercialization/D
evelopment efforts
continue, but
significant sales of
licensing revenues
have not resulted yet
(do not count grants
or investments).
Roughly 20% of these
“works in progress”
will eventually
become successful
projects.
Please enter
information about your
patent’s position.

Patent position:
• Strong
• Primarily Trade Secret
• Key patents/Patent Applications
from Academic partners
• Appears to be infringing prior
art

Multiple
choice

SBIR Common
Questions

Intermediate
Outcome: IP is
licensed or
acquired

15

Outputs
:
Licensin
g

Please enter
information about your
patent’s original source.

16

Outputs
:
Product
/Service
/Process
(PSP)
Outputs
:
Product
/Service
/Process
(PSP)
Outputs
:
Product
/Service
/Process
(PSP)
Outputs
:
Product
/Service
/Process
(PSP)
Outputs
:

Is your company’s
output a product,
service or process?
(Please describe.)

First
respons
e only

In what year did you
record your first sales?

First
respons
e only

17

18

19

20

A. Internal (within our company
B. External (choose organization
type):
• Academic
• For Profit
• Government
• Investor
• Not for Profit
A. Product
B. Service
C. Process

Binary:
internal/exter
nal with drop
down menu
to select
description of
external

SBIR Common
Questions

Intermediate
Outcome: IP is
licensed or
acquired

Multiple
answer with
structured
text box entry
to describe

SBIR Common
Questions

Outputs: Grantee
description of
outputs

Structured
SBIR Common
numerical text Questions
box or drop
down with 4digit year

Long Term
Outcome:
Development of
new businesses
and companies

What are your PSP sales
(in US dollars) for the
last 12 months?

Structured
SBIR Common
numerical text Questions
box

Long Term
Outcome:
Development of
new businesses
and companies

What are your PSP sales
(in US dollars) since
commercialization of
your PSP?

Structured
SBIR Common
numerical text Questions
box

Long Term
Outcome:
Development of
new businesses
and companies

What are your
corporation’s total sales

Structured
SBIR Common
numerical text Questions

Long Term
Outcome:

Outputs
:
Commer
cializati
on

23

Outputs
:
Licensin
g

Please list any
companies that have
demonstrated interest
in partnership activities
related to your NSFfunded research. What
is the nature of the
interest?
How many of the
following does [NAME
BUSINESS] have? Enter
zero if none.

Matrix:

Numerical
Matrix: open

SBIR Common
Questions

Long Term
Outcome:
Development of
new businesses
and companies

Structured
text box , with
multiple
answer matrix
for nature of
interest

SBIR Common
Questions

Intermediate
Outcome:
Partnerships are
developed
outside academia

Kauffman Firm
Survey3; I-Corps
Indicators &
Monitoring
System2

Intermediate
Outcome: IP is
licensed or
acquired

sales

Annual

Development of
new businesses
and companies

% from NSF
project(s)

22

21

box

Total

(in US dollars) for the
last 12 months/at the
time of your SBIR Phase
II award?
Please estimate the
amount of total sales
and licensing revenues
from the products,
services, or processes,
as well as the % of each
derived from NSFfunded project(s).

licensing

Product
/Service
/Process
(PSP)
Econom
ic
Impacts

Only
asked if
company
has been
incorpor
ated

A.
B.
C.
D.

Continued Conversations
Monetary Commitment
Contractual Agreement
Other (please describe)

Numerical:
open for each
option
• Inventions
Disclosed
• Licensing
Agreements
• Patent

24

New
Researc
h
Directio
ns

If
above=N
O

Primary concern related
to
market/commercializati
on efforts:

Applications
• Patents
Granted
• Patents in
Use
• Inventions
Producing
Royalties
• Software
Copyrights
• Company
Trademarks
• Nondisclosure
Agreements
(NDA)
• Materials
Transfer
Agreements
(MTA)
1) Technical Failure or Difficulty
May choose
a) Key personnel left company option A or B
b) Estimated costs too high
ONLY; then
c) Ran out of money or other
any of the
resources
subheadings
d) Patent problems
under that
e) Technology obsolete
option
2) Market Demand Difficulty
a) Market needs change
b) Costs too high (not cost
competitive in market
place)
c) Business segment in
recession

SBIR Common
Questions;
PFI:AIR
Indicators &
Logic Model

Immediate
Outcome:
Evaluation of
commercial
potential

25

Technol
ogy
Develop
ment

26

Technol
ogy
Develop
ment

27

Technol
ogy
Develop
ment

[1]

Only
asked if
commerc
ialization
can be
attribute
d to the
NSFfunded
project

Are there any products,
services, or processes in
the market, market
ready, or awaiting
regulatory approval
whose
commercialization you
can attribute (to some
degree) to your
participation in the NSFfunded project?
[If yes] Please enter the
following information
about products,
services, or processes

Did the original
technology and NSFfunded project result in
spin-offs or new ideas
or products?

Annual

Annual

d) Market was not there to
begin with

Multiple textboxes – for each row:
Describe Product
Status
Number of units sold (if any)
Amount of sales in last fiscal year
Amount of sales since
commercialization

a.
b.

Spin-off company
New product idea(s)

NSF Engineering, “GARDE Satisfaction Survey.” 31-Jul-2013. OMB Control No: 3145-0157

Binary: Y/N

Multiple
textboxes –
for each row:

Binary: Y/N:

SBIR Common
Questions;
PFI:BIC Logic
Model &
Indicators4;
PFI:AIR Logic
Model &
Indicators; ICorps Indicators
& Monitoring
System2
SBIR Common
Questions

SBIR Common
Questions

Long Term
Outcome:
Products, services
or processes are
produced

Long Term
Outcome:
Products, services
or processes are
produced

Long Term
Outcome:
Development of
new companies or
products

[2]

NCIIA, “I-Corps Indicators & Monitoring System.” 23-Oct-2013.

[3]

“Kauffman Firm Survey - Annotated Questionnaire.” Ewing Marion Kauffman Foundation.

[4]

NSF Engineering, “PFI:BIC Logic Model & Indicators.” 26-Jul-2013.