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OCR for page 101
Draft Program Manager Survey
I Basic schedule
II Outreach
III Topic development
IV Phase I Selection
V Phase I Tracking
VI Phase I Program Characteristics
VII Phase II Application Support and Preparation
VIII Phase II Selection
IX Phase II Tracking
X Phase II Program Characteristics
XI Phase III Application Support and Preparation
XII Phase III Selection
XIII Phase III Tracking
XIV Phase III Program Characteristics
XV Outcomes Analysis
XVI Electronic services
I Basic Schedule
Please identify completion dates for the following activities in 2002-2003 cycle
a Phase I
Topics set
Solicitation published
Application deadline
First step review completed (for basic program compliance)
In-agency review completed
Outside reviews completed
Initial selection completed
Final selection completed
Grant begins
b Phase II
Phase I awardees invited to apply
Pre-application workshops completed
Application deadline
In-house review completed
Outside reviews completed
Initial selection completed
Final selection completed
Grant begins
Outreach
II
a How many outreach conferences does your staff attend each year [measured in staff
attendances]
b How important are the following elements of your outreach program [sum to 100%]
i SBIR conferences
ii State conferences
iii Academic conferences
c How much do you rely on your web site to provide basic information to applicants [0-100%]
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d Do you partner with the following to provide outreach services:
i Business organizations
ii State and other non-Federal government agencies
iii Academic units
iv Private firms
e What share of your work year is consumed by outreach activities [0-100%]
f can you identify the most successful outreach activities?
i Those drawing the largest number of applicants
ii Those that are most cost effective
III Topic Development
a Who initially develops the topics for solicitation
b Who edits or adjusts them
c Who makes the final topic selection
d What criteria are used to guide the development of topics [please weight the influence of the
following, summing to 100%]
i Technical needs of the agency
ii Cutting edge of the field
iii Likely commercial technologies
iv Other (describe)
e On average, what percentage of topics change substantially year on year?
f Is "topic management" (e.g. topic narrowing) used to help manage the number of proposals
received?
IV Phase I Selection
a How many Phase I applications were received in
i 2003
ii 2002
iii 2001
b Is there an initial determination that the proposal falls within the scope of the solicitation
i Yes/no
ii If yes, who makes that determination
c Is An initial technical assessment made in house?
i Yes/no
ii If yes, who makes that determination
d Outside reviewers
i Maximum number used for a proposal
ii Minimum number used
iii Sources of reviewers [please assign percentages, summing to 100%]
i) Agency staff
ii) Academics
iii) Industry scientists
iv) Other industry personnel
v) Other
e Commercial review
i Is a commercial review conducted for Phase I projects (Y/N)
ii If yes, who makes that determination
i) Agency staff
ii) Academics
iii) State or other govt economic development officers
iv) Other industry personnel
v) Consultants
vi) Other
f Do Phase I awards in practice range in amount, or are they almost always awarded at or
near the maximum value (currently $100,000)
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g In scoring proposals, please assign relative weights to the following areas and sub areas.
Total should sum to 100%
i Technical merit
i) Significant advance in field
ii) Appropriate technical approach
iii) Strength of scientific approach
iv) PI qualifications
v) Adequate facilities
vi) Sufficient and qualified staff
ii Commercial potential
i) Market understanding
ii) In-company commercial capacity
iii Agency benefit
i) Addresses identified agency technical/scientific need
ii) Endorsed by relevant COTAR
iii) Other program agency staff (e.g. procurement officers)
h Are all administratively acceptable proposals sent for outside review?
i) If not, who makes that decision
ii) Which of the following criteria are used to make that
determination
a) Obvious technical weakness
b) Not R&D
c) Other DOE criteria
e) Other DOE criteria
f) Other DOE criteria
i Who initially scores and ranks proposals
i SBIR office staff
ii Agency program staff
j Who makes final selection of winners
i SBIR office staff
ii Agency program staff
k What percentage of final scores deviate substantially from the average of outside reviewer
scores (i.e. how much flexibility does the program officer have?)
i 0-20%
ii 21-40%
iii 41% or more
l How is the funding for each topic or program area decided?
i Strictly on the basis of funds to SBIR provided by that program
ii By the SBIR office
iii Other
m Who decides how to allocate that funding across winning proposals
i Allocations are for practical purposes fixed (very few deviate from the
standard award)
ii SBIR staff
iii Agency program staff
n Are the following criteria known to selecting staff or reviewers? Do they play a role in
selection?
i Geographical location of proposed work
ii Minority status of PI or proposing company
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iii Prior awards
iv Outcomes from prior awards
V Phase I Tracking
a Is any contact maintained by SBIR staff with Phase I awardees during the course of Phase I
b The final report for Phase I is sent to the following:
i SBIR office staff
ii The relevant agency technical contact
iii Contracts office
iv Other
c The final report is assessed to evaluate Phase I outcomes (yes/no)
d If yes, who makes that evaluation
i SBIR office staff
ii The relevant agency technical contact
iii Contracts office
iv Other
e Are Phase I recipients ever surveyed for program satisfaction?
f If so, are results used for program modification (please explain/give examples)
VI Phase I Program Characteristics
a Multiple awards
i On average, what percentage of awards go to companies with no prior
SBIR wins in your agency?
ii On average, of the companies winning Phase I awards, how many have
never won an award from your agency before
iii On average, how many awards does your biggest Phase I award winner
receive
b Minority/women led companies. If known, what percentage of awards go to minority/women-
led companies?
c Does your program have a fixed start and fixed end date. If so, what are they for 2003?
VII Phase II Application Support and Preparation
a Do you directly solicit or encourage Phase I recipients to apply for Phase II awards?
b If so, do you solicit all Phase I awardees
c How long before the Phase II deadline do you solicit interest?
Do you provide any assistance with the development of a Phase II proposal?
i Assistance with the business case
ii Assistance with matching funds
iii Assistance with technology partnering or other technology support
d Do you now plan to encourage non-Phase I companies to apply directly for Phase II
e If that was permitted would you support such a change of policy
f What percentage of Phase I recipients apply for Phase II
g Are Phase I recipients permitted to apply to subsequent Phase II competitions (a year or two
behind their "cohort.")
i If so, are there any limitations to the delay
VIII Phase II Selection
a Is An initial technical assessment made in house?
i Yes/no
ii If yes, who makes that determination
b Outside reviewers
i Maximum number used for a proposal
ii Minimum number used
iii Sources of reviewers [please assign percentages, summing to 100%]
i) Agency staff
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ii) Academics
iii) Industry scientists
iv) Other industry personnel
v) Other
c Commercial review
i Is a commercial review conducted for Phase II projects (Y/N)
ii If yes, who makes that determination
i) Agency staff
ii) Academics
iii) State or other govt economic development officers
iv) Other industry personnel
v) Consultants
vi) Other
d Do Phase II awards in practice range in amount, or are they almost always awarded at or
near the maximum value (currently $750,000)
i If awards vary, please provide
i) The average size of the awards for the most recent year
ii) the number of awards not receiving the maximum
amount
iii) The number of awards greater than the standard
maximum (i.e. more than $750,000)
e In scoring proposals, please assign relative weights to the following areas and sub areas.
Total should sum to 100%
i Technical merit
i) Significant advance in field
ii) Appropriate technical approach
iii) Strength of scientific approach
iv) PI qualifications
v) Adequate facilities
vi) Sufficient and qualified staff
ii Commercial potential
i) Market understanding
ii) In-company commercial capacity
iii Agency benefit
i) Addresses identified agency technical/scientific need
ii) Endorsed by relevant COTAR
iii) Other program agency staff (e.g. procurement officers)
f Are all administratively acceptable proposals sent for outside review?
i) If not, who makes that decision
ii) Which of the following criteria are used to make that determination
i) Obvious technical weakness
ii) Not R&D
iii) Other DOE criteria
iv) Other DOE criteria
v) Other DOE criteria
g Who initially scores and ranks proposals
i SBIR office staff
ii Agency program staff
h Who makes final selection of winners
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i SBIR office staff
ii Agency program staff
i What percentage of final scores deviate substantially from the average of outside reviewer
scores (i.e. how much flexibility does the program officer have?)
i 0-20%
ii 21-40%
iii 41% or more
j How is the funding for each topic or program area decided?
i Strictly on the basis of funds to SBIR provided by that program
ii By the SBIR office
iii Other
k Who decides how to allocate that funding across winning proposals
i Allocations are for practical purposes fixed (very few deviate from the
standard award)
ii SBIR staff
iii Agency program staff
l Are the following criteria known to selecting staff or reviewers? Do they play a role in
selection?
i Geographical location of proposed work
ii Minority status of PI or proposing company
iii Prior awards
iv Outcomes from prior awards
IX Phase II Tracking
a Is any contact maintained by SBIR staff with Phase II awardees during the course of Phase
II
b The final report for Phase II is sent to the following:
i SBIR office staff
ii The relevant agency technical contact
iii Contracts office
iv Other
c The final report is assessed to evaluate Phase II outcomes (yes/no)
d If yes, who makes that evaluation
i SBIR office staff
ii The relevant agency technical contact
iii Contracts office
iv Other
e Are Phase II recipients ever surveyed for program satisfaction?
f If so, are results used for program modification (please explain/give examples)
X Phase II Program Characteristics
a Multiple awards
i On average, what percentage of awards go to companies with no prior
SBIR wins in your agency?
ii On average, of the companies winning Phase II awards, how many have
never won an award from your agency before (other than the related
Phase I)
iii On average, how many Phase II awards does your biggest Phase II award
winner receive in each year
b Minority/women led companies. If known, what percentage of awards go to minority/women-
led companies?
c Does your program have a fixed start and fixed end date. If so, what are they for 2003?
XI Phase III Application Support and Preparation
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a Do you directly solicit or encourage Phase I recipients to apply for Phase III awards?
b If so, do you solicit all Phase II awardees
c Do you provide any assistance with the development of a Phase III proposal?
i Assistance with the business case
ii Assistance with identifying and acquiring funding
iii Assistance with technology partnering or other technology support
iv Assistance with general marketing
v Assistance with marketing within your agency
d Can Phase I companies skip directly to Phase III
f What percentage of Phase II recipients apply for Phase III
XII Phase III Selection
a Does your agency have a formal Phase III program, providing further funding or support for
companies completing Phase II's but not quite ready for full commercialization
b If so, does you agency provide funding
i If so, what is the average size of the Phase III award
c Does the award require matching funds
i What is the required match?
ii Is advantage given to companies which provide a higher match
iii Are there requirements or advantages attached to specific sources of the
match (e.g. government agency funding, private venture money, etc.
d Is a further technical assessment made in house?
i Yes/no
ii If yes, who makes that determination
e Are outside reviewers used for Phase II proposals. If so,
i Maximum number used for a proposal
ii Minimum number used
iii Sources of reviewers [please assign percentages, summing to 100%]
i) Agency staff
ii) Academics
iii) Industry scientists
iv) Other industry personnel
v) Other
f Commercial review
i Is a detailed review of commercial opportunities conducted for Phase III
projects (Y/N)
ii If yes, who conducts that review
i) Agency staff
ii) Academics
iii) State or other govt economic development officers
iv) Other industry personnel
v) Consultants
vi) Other
g Do Phase III awards in practice range in amount, or are they almost always the same
amount (and what is that amount)
i If awards vary, please provide
i) The average size of the awards for the mort recent year
ii) the number of awards not receiving the maximum
amount
h In scoring proposals, please assign relative weights to the following areas and sub areas.
Total should sum to 100%
i Technical merit
i) Significant advance in field
ii) Appropriate technical approach
iii) Strength of scientific approach
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iv) PI qualifications
v) Adequate facilities
vi) Sufficient and qualified staff
ii Commercial potential
i) Market understanding
ii) In-company commercial capacity
iii) Advanced marketing and distribution plans
iv) Existing marketing and distribution arrangements
v) Further product development plans
iii Agency benefit
i) Addresses identified agency technical/scientific need
ii) Endorsed by relevant COTAR
iii) Other program agency staff (e.g. procurement officers)
i Is there are formal competition or are proposals treated case by case3
j Are Phase III proposals subject to outside review? If so, to whom are they sent?
k Who initially scores and ranks proposals
i SBIR office staff
ii Agency program staff
l Who makes final selection of winners
i SBIR office staff
ii Agency program staff
m How is the funding for each topic or program area decided?
i Strictly on the basis of funds to SBIR provided by that program
ii By the SBIR office
iii Other
n Who decides how to allocate that funding across winning proposals
i Allocations are for practical purposes fixed (very few deviate from the
standard award)
ii SBIR staff
iii Agency program staff
o Are the following criteria known to selecting staff or reviewers? Do they play a role in
selection?
i Geographical location of proposed work
ii Minority status of PI or proposing company
iii Prior awards
iv Outcomes from prior awards
XIII Phase III Tracking
a Is any contact maintained by SBIR staff with Phase III awardees during the course of Phase
III
b The there a final report for Phase III. If so, is it sent to the following:
i SBIR office staff
ii The relevant agency technical contact
iii Contracts office
iv Other
c The final report is assessed to evaluate Phase III outcomes (yes/no)
d If yes, who makes that evaluation
i SBIR office staff
ii The relevant agency technical contact
iii Contracts office
iv Other
e Are Phase III recipients ever surveyed for program satisfaction?
f If so, are results used for program modification (please explain/give examples)
XIV Phase II Program Characteristics
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XV Outcomes analysis
a Which of the following indicators of success do you regularly capture from your grantees or
other sources
Phase I Phase II Phase III
Commercialization
Actual sales of related products
Expected sales of SBIR-related products or services
Further development funding
Investment in the company
Business plan
Marketing staff
Distribution arrangements
Licensing agreement
Trademarks filed/granted
Copyrights filed/granted
Agency mission
Knowledge adoption by agency
Knowledge adoption by prime contractor
Other agency indicators
Field development
Patents filed/granted
Scientific publications
Scientific conference presentations
Other field development activities
b on what criteria is the success of the program offer judged
i Efficient program management (grants made on time)
ii Commercial outcomes
iii Agency outcomes
iv Customer (grantee) satisfaction
XVI Electronic Services
a Which of the following elements are available online at your agency:
I Phase I application
ii Phase I reporting
iii Phase II application
iv Phase II reporting
v Survey capability
b What other services are available electronically
c What other services would you like to make available electronically
109
Representative terms from entire chapter:
innovation research
