Partnerships for Innovation: Building Innovation Capacity (PFI:BIC)

Survey Questions for PFI-BIC
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ID #

Logic

Item

Freq.

Response Scale

Variable
type/Dat
a entry
format

Question
Item
Source
Material

1

Outputs:
Workforce
Developme
nt

How many students
have you mentored
during the award?

Numerical
text boxes
for each.

NEW

2

Outputs:
Workforce
Developme
nt

How many postdocs
have you mentored
during the award?

Numerical
text boxes
for each.

NEW

3

Outputs:
Workforce
Developme
nt

Numerical
text boxes
for each.

NEW

4

Outputs:
Workforce
Developme
nt

How many of your
students have
graduated with a
master’s degree? How
many of your students
have graduated with a
PhD?
How many of your
students have been
hired by partner
companies?

Numerical
text boxes
for each.

NEW

5

Outputs:
Workforce
Developme
nt

How many of your
postdocs have been
hired by partner
companies?

Numerical
text boxes
for each.

NEW

Output or
Outcome
Addressed
Workforce
Development Outputs:
Numbers of students
and postdocs trained
by BIC PI
Workforce
Development Outputs:
Numbers of students
and postdocs trained
by BIC PI
Workforce
Development Outputs:
Numbers of students
and postdocs trained
by BIC PI
Workforce
Development Outputs:
Numbers of students
and postdocs trained
by BIC PI
Workforce
Development Outputs:
Numbers of students
and postdocs trained

6

7

Outputs:
Commercia
lization
Only
asked if
member
of the
NSFfunded
project
team

Have you or your
collaborators on the
award developed a
business plan for
commercialization?
To what extent has any of
the following occurred as
a result of your
participation in the NSFfunded project/program?
TEACHING
• I taught new courses
and/or course content
related to the NSFfunded project
• I developed new
extracurricular or notfor-credit instructional
activities
• I incorporated new
instructional methods
related to those used
in the NSF-funded
project in my teaching
RESEARCH AND
LEADERSHIP
• I changed the way I
think about my
research
• I led a change effort in
my department,
institution, or
organization (e.g.,

A. Yes
B. No

Binary: y/n

A.
B.
C.
D.

Matrix/Arra
y

Yes, a lot
Yes, some
No
Not applicable

Or
A. Yes
B. No
C. Not applicable

by BIC PI
Output: Business plan
for commercialization
is developed
EEC Impact
Interview
Protocol2; ICorps
Indicators &
Monitoring
System3

Outcome: Researchers
and/or students
become innovators in
other contexts

policy, curriculum)
• I encouraged my
students to talk to
potential customers
about their research
or technologies
CAREER
• I applied what I
learned from the NSFfunded project in
other projects or
career endeavors
• I advised/mentored
teams that are
interested in
commercializing their
research or starting a
venture related to
their research
• I pursued new career
opportunities related
to research
commercialization and
/ or venture
development
ORGANIZATIONAL
BENEFITS
• Saved
department/institutio
n organization money
• Increased productivity
of
department/institutio
n/organization

•

8

Participated in
outreach efforts
beyond the university
setting
Have new positions or
employee training
opportunities been
created as a result of your
BIC partnership? If yes,
how many?

9

How many of your
students have continued
in related fields?

Yes/No with NEW
structured
text box to
list number
of
opportunitie
s
Text box to
NEW
enter
number

10

How many of your
postdocs have continued
in related fields?

Text box to
enter
number

NEW

11

How many of your
students have continued
in similar innovation or
entrepreneurial
partnerships?

Text box to
enter
number

NEW

12

How many of your
postdocs have continued
in similar innovation or
entrepreneurial
partnerships?

Text box to
enter
number

NEW

Immediate Outcome:
Workforce
Development- Number
of positions or training
opportunities created
Intermediate
Outcome: Workforce
Development- Number
of students continuing
in related fields
Intermediate
Outcome: Workforce
Development- Number
of postdocs continuing
in related fields
Intermediate
Outcome: Workforce
Development- Number
of students continuing
in innovation or
entrepreneurial
partnerships
Intermediate
Outcome: Workforce
Development- Number
of postdocs continuing
in innovation or
entrepreneurial

13

New
Research
Directions

14

New
Research
Directions

15

Outputs:
Licensing

Has the product/ service
made it to market/ been
implemented?

If
above=N
O

Primary reason
product/service has not
moved towards
market/commercialization
:

How many of the
following does either
[NAME BUSINESS/the
NSF-funded project TEAM
MEMBER/INSTITUTION]
have as a result of the
award? Enter zero if none.

A. Yes
B. No

1) Technical Failure or Difficulty
a) Key personnel left company
b) Estimated costs too high
c) Ran out of money or other
resources
d) Patent problems
e) Technology obsolete
2) Market Demand Difficulty
a) Market needs change
b) Costs too high (not cost
competitive in market
place)
c) Business segment in
recession
d) Market was not there to
begin with
• Inventions Disclosed
• Licensing Agreements
• Patent Applications
• Patents Granted
• Patents in Use
• Inventions Producing Royalties
• Software Copyrights

Binary: y/n

May choose
option A or
B ONLY;
then any of
the
subheadings
under that
option

Numerical:
open for
each option

PFI:BIC Logic
Model &
Indicators4;
PFI:AIR Logic
Model &
Indicators; ICorps
Indicators &
Monitoring
System3
SBIR
Common
Questions;
PFI:AIR
Indicators &
Logic Model

Kauffman
Firm Survey6;
I-Corps
Indicators &
Monitoring
System3

partnerships
Intermediate
Outcome: Technology
Development

Intermediate outcome:
Technology
Development

Intermediate
Outcome: Patent and
License applications of
new technology

16

Technology
Developme
nt

17

Health of
Collaborati
on

Asked of
Collabor
ative
Leads

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?

Annual

Please rate the health of
your collaboration in the
following dimensions:
A. Stakeholders are
committed
B. Business Benefits
are realized
C. Work and
Schedule are
predicted/predict
able
D. Team is high
performing
E. Scope is realistic
and managed in
the context of
available

Quarte
rly

• Company Trademarks
• Non-disclosure Agreements (NDA)
Materials Transfer Agreements
(MTA)

A. Green- Progressing in
accordance with plan
B. Yellow- Warning, corrective
attention required
C. Red- Urgent, remedial action
required

Binary: Y/N

SBIR
Intermediate
Common
Outcomes: Technology
Questions;
Development
PFI:BIC Logic
Model &
Indicators4;
PFI:AIR Logic
Model &
Indicators; ICorps
Indicators &
Monitoring
System3
These data PFI:BIC Logic Process characteristics
could be
Model &
(used for mid-course
4
used by the Indicators
formative evaluation)
PIs/collabor
Quality, Health and
ators to
Sustainability of the
address any
partnership model
issues that
may arise
mid-course
and adjust
accordingly.
They will
also be used
in aggregate
by program
staff to
compare to

resources
F. Risks are
mitigated
G. Delivery
Organization
Benefits are
realized

18

Outputs:
Best
Practices

19

New
Research
Directions

Have your NSF-funded
efforts resulted in or
contributed to description
or establishment of “best
practices”
(methodologically or
otherwise) for your
discipline?
A. All
A. Have you been
B. Only
able to create new
if A=
research
YES
directions which
C. Only
resulted from
if
discoveries or
B=YE
developments of
S
your NSF award?
B. Have you pursued
funding for these
new directions?
C. Were you
successful in
securing funding

other
monitoring
system data
to try to
identify
predictors
of
successful
collaboratio
ns
A. Yes (Please describe.)
B. No (Please describe.)

Binary: y/n,
with text
box for
description

PFI:BIC Logic
Model &
Indicators4

Intermediate
Outcome: Best
practices established
and disseminated

• Yes
• No

Binary: y/n

EFRI
Indicators &
Monitoring
System5;
PFI:BIC Logic
Model &
Indicators4

Intermediate
Outcome: New
research directions are
created

20

21

22

Outputs:
Collaborati
ons

Only
asked if
company
has been
incorpor
ated

23

Outputs:
Collaborati
ons

Only
asked if
company
has been
incorpor
ated

for these new
directions?
Based on your experience,
does the BIC partnership
lead to a shorter average
development cycle for
commercialization of
technology?
How many publications
have you authored based
on technology or
advancements in the
underlying discovery
supported by the BIC
award?
Did the NSF-funded
project result in any
collaborations between
the awardee institution
and the external
community? (e.g.,
Local/state government,
industry, non-profit
organizations, etc.?

Please list any external
collaborations beyond the
collaborators on your
award that you can
attribute to your
participation in the NSF-

Annual

Yes/No with
structured
text box for
comments

NEW

Intermediate
Outcomes: Barriers to
commercialization are
overcome

Number
field

NEW

Binary: Y/N

Intermediate
Outcomes: Technology
Advancementsnumber of publications
based on technology
supported by the BIC
award
Long Term Outcome:
Sustainability of the
partnership model

I-Corps
Indicators &
Monitoring
System3; EFRI
Indicators&
Monitoring
System5;
PFI:BIC Logic
Model &
Indicators4;
PFI:AIR Logic
Model &
Indicators
I-Corps
Long Term Outcome:
Indicators &
Sustainability of the
Monitoring
partnership model
3
System ; EFRI
Indicators&
Monitoring

Multiple
textboxes

24

Outputs:
Collaborati
ons

25

Business
Creation

26

Business
Creation

System5;
PFI:BIC Logic
Model &
Indicators4;
PFI:AIR Logic
Model &
Indicators

Financial
contributions of
partner
organization

1
2
A. Yes
B. No
If yes, please provide their
names.

Are you still collaborating
with any of your
collaborators on the
award?

Only
asked if
member
of the
NSFfunded
project
team
Only
asked if
member
of the
NSFfunded
project
team
and
company

Organization
Type

Partner Name

funded project/program

Binary: y/n
with text
box for
description

PFI:BIC Logic
Model &
Indicators4;
PFI:AIR Logic
Model &
Indicators

Long Term Outcome:
Sustainability of the
partnership model

To your knowledge, has a
company been
incorporated based on
this NSF-FUNDED
PROJECT?

Annuall
y, if
answer
in
previou
s year
was No

Binary: Y/N

Kauffman
Firm Survey6;
I-Corps
Indicators &
Monitoring
System3

Long Term Outcome:
Subset of awardees
form start-up or spinoff companies

What is the name of this
company?

This
may be
redund
ant
after
year 1

Text: open

Kauffman
Firm Survey6;
I-Corps
Indicators &
Monitoring
System3

Long Term Outcome:
Subset of awardees
form start-up or spinoff companies

27

Business
Creation

28

has been
incorpor
ated
Only
asked if
member
of the
NSFfunded
project
team
and
company
has been
incorpor
ated

When was [COMPANY
NAME] Initiated?

1. Prior to participation in the
NSF-funded project
2. During the NSF-funded project
3. After completing the NSFfunded project

In addition to your PFI:BIC
funding, have you applied
to other federal agencies
for funding for a related
research project? If yes,
which agencies?

[1]

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

[2]

NSF Engineering, “EEC Impact interview Protocol.” 02-Aug-2013.

[3]

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

[4]

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

[5]

NSF Engineering, “EFRI Pilot Clearance.” 20-Mar-2014.

[6]

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

Multiple
choice

Kauffman
Firm Survey6;
I-Corps
Indicators &
Monitoring
System3

Long Term Outcome:
Subset of awardees
form start-up or spinoff companies

Yes/No with
structured
text box to
list funding
agencies

NEW

Long-Term Outcomes:
Continued cycle of
innovation