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Draft Phase II Survey105 Introduction This survey is an important part of a major study commissioned by the US Congress to review operations of SBIR grant programs at federal agencies.106 The assessment, by the National Research Council, seeks to determine both the extent to which the SBIR programs meet their mandated objectives, and to investigate ways in which the programs could be improved. Your participation in this survey will help to address these questions. We anticipate that the survey should take about 30 minutes of your time.107 If you have further questions either about the survey or about the assessment more broadly, please contact Dr. Charles Wessner, Study Director, National Research Council. Project Information } PROPOSAL TITLE: This project information will be filled in Before the respondent receives the survey TOPIC NUMBER: PHASE II CONTRACT/GRANT NUMBER: Part I. Current status of the Project What is the current status of the project funded by the referenced SBIR award? Select the one best 1. answer ___ Project has not yet completed Phase II. Go to question 20 a. ___ Efforts at this company have been discontinued. No sales or additional funding resulted from this b. project. Go to question 2 ___ Efforts at this company have been discontinued. The project did result in sales, licensing of c. technology, or additional funding. Go to question 2 ___ Project is continuing post Phase II technology development. Go to question 3 d. ___ Commercialization is underway. Go to question 3 e. ___ Products/Processes/ Services are in use by target population/customer/consumers. Go to question 3 f. 2. Did the reasons for discontinuing this project include any of the following? (PLEASE SELECT YES OR NO FOR EACH REASON AND NOTE THE ONE PRIMARY REASON) Primary Yes No Reason Technical failure or difficulties Market demand too small Level of technical risk too high Not enough funding Company shifted priorities Principal investigator left Project goal was achieved (e.g. prototype delivered for federal agency use) Licensed to another company 105 One survey per selected Phase II project. At the end of this project survey, there is a separate firm survey. The firm survey will be filled out once each firm. 106 This introduction is in part a place holder. It will be revised after the preliminary notification letter and the accompanying introduction/instructions for the firm survey are prepared. 107 Placeholder number of minutes until testing of instrument has been completed. 91

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Product, process, or service not competitive Inadequate sales capability Other (please specify): ______________________________________ The next question to be answered depends on the answer to Question 1. If c., go to Question 3. If b., skip to Question 16 Part II. Commercialization activities and planning. Questions 3-7 concern actual sales to date resulting from the technology developed during this project. Sales includes all sales of a product, process, or service, to federal or private sector customers resulting from the technology developed during this Phase II project. A sale also includes licensing, the sale of technology or rights etc. 3. Has your company and/or licensee had any actual sales of products, processes, services or other sales incorporating the technology developed during this project? (Select all that apply.) ___No sales to date, but sales are expected Skip to Question 8 a. Skip to Question 11 b. ___No sales to date nor are sales expected c. ___Sales of product(s) d. ___Sales of process(es) e. ___Sales of services(s) f. ___Other sales (e.g. rights to technology, licensing, etc.) 4. For your company and/or your licensee(s), when did the first sale occur, and what is the approximate amount of total sales resulting from the technology developed during this project? If multiple SBIR awards contributed to the ultimate commercial outcome, report only the share of total sales appropriate to this SBIR project. (Enter the requested information for your company in the first column and, if applicable and if known, for your licensee(s) in the second column. Enter approximate dollars. If none, enter 0 (zero)). Your Company Licensee(s) a. Year when first sale occurred b. Total Sales Dollars of Product (s) Process (es) $_ _ _, _ _ _, _ _ _ $_ _ _, _ _ _, _ _ _ or Service(s) to date c. Other Total Sales Dollars (e.g., Rights to $_ _ _, _ _ _, _ _ _ $_ _ _, _ _ _, _ _ _ technology, Sale of spin off company, etc.) to date Your company reported sales information to DoD as a part of an SBIR proposal or to NAS as a result of an earlier NAS request. This information may be useful in answering the prior question or the next question. You reported as of (date): DoD sales ($ amount), Other Federal Sales ($ amount), Export Sales ($ amount), Private Sector sales ($ amount), and other sales ($ amount). 5. To date, approximately what percent of total sales from the technology developed during this project have gone to the following customers? (If none enter 0 (zero). Round percentages. Answers should add to approximately 100%)108 Domestic private sector ___ % Department of Defense (DoD) ___% 108 Please note: If a NASA SBIR award, the Prime contractors line will state “Prime contractors for NASA.” The “Agency that awarded the Phase II” will only appear if it is not DoD or NASA. The Name of the actual awarding agency will appear. 92

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Prime contractors for DoD or NASA ___% NASA ___% Agency that awarded the Phase II % Other federal agencies (Pull down) % State or local governments ___% Export Markets ___% Other (Specify) _____________ ___% The following questions identify the product, process, or service resulting from the project supported by the referenced SBIR award, including its use in a fielded federal system or a federal acquisition program 6. Please provide the name of the Federal system or acquisition program that is using the technology (if applicable): ___________________________________________ 7. Please provide any applicable trade or commercial name, the generic name, and the model number for this product, process, or service: a. Trade or Commercial Name: _____________________________________________________________ b. Generic Name: _____________________________________________________________ c. Model Number (if applicable): ______________________________________________ 8. If you have had no sales to date resulting from the technology developed during this project, what year do you expect the first sales for your company or its licensee? a. ___ Sales are expected. The year of expected first sale is ___ No sales are expected. Skip to question 10 b. 9. For your company and/or your licensee, what is the approximate amount of total sales expected between now and the end of 2005 resulting from the technology developed during this project? (If none, enter 0 (zero).) a. Total sales dollars of product(s), process (es) or services(s) expected $_ _ _, _ _ _, _ _ _ between now and the end of 2005. b. Other Total Sales Dollars (e.g., rights to technology, sale of spin off $_ _ _, _ _ _, _ _ _ company, etc.) expected between now and the end of 2005. expected sales estimate. Select all that apply c. Basis of 1) ___ Market research 2) ___ Ongoing negotiations 3) ___ Projection from current sales 93

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4) ___ Consultant estimate 5) ___ Past experience 6) ___ Educated guess 10. How did you (or do you expect to) commercialize your SBIR award? a. ___No commercial product, process, or service was/is planned. b. ___As software c. ___As an intermediate hardware product or component d. ___As a final hardware product e. ___As process technology g. ___As new or improved service capability h. ___Other, please explain___________________________________ 11. Which of the following, if any, describes the type and status of marketing activities by your company and/or your licensee for this project? (Select one for each marketing activity) Marketing activity Planned Need Underway Completed Not Needed Assistance a. Preparation of marketing plan b. Hiring of marketing staff c. Publicity/advertising d. Test marketing e. Market Research f. Other (Specify) Part III. Other outcomes 12. As a result of the technology developed during this project, which of the following describes your company’s activities with other companies and investors? (Select all that apply.) US Companies/Investors Foreign Companies/Investors Activities Finalized Ongoing Finalized Ongoing Agreements Negotiations Agreements Negotiations a. Licensing Agreement(s) b. Sale of Company c. Partial sale of Company d. Sale of technology rights e. Company merger f. Joint Venture agreement g. Marketing/distribution agreement(s) h. Manufacturing agreement(s) i. R&D agreement(s) j. Customer alliance(s) k. Other Specify____________ 94

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13. In you opinion, in the absence of this SBIR award, would your company have undertaken this project? (Select one.) a. ___Definitely yes b. ___Probably yes (If you selected a. or b., go to question 14) c. ___Uncertain d. ___Probably not e. ___Definitely not (If you selected c., d. or e., skip to question 16.) 14. If you had undertaken this project in the absence of SBIR, this project would have been d. ___Broader in scope e. ___Similar in scope f. ___Narrower in scope 15. In the absence of SBIR funding, (Please provide your best estimate of the impact) d. The start of this project would have been delayed about____months. e. The expected duration/time to completion have been 1) ___ longer 2) ___ the same 3) ___ shorter f. In achieving similar goals and milestones, the project would be 1) ___ ahead 2) ___ the same place 3) ___ behind Employee information. (Enter number of employees. You may enter fractions of full time effort (e.g. 1.2 16. employees). Please include both part time and full time employees, and consultants, in your calculation.) Number of employees (if known) when Phase II proposal was submitted Current number of employees Number of current employees who were hired as a result of the technology developed during this Phase II project. Number of current employees who were retained as a result of the technology developed during this Phase II project 17. Please give the number of patents, copyrights, trademarks, and/or scientific publications for the technology developed as a result of this project. (Enter numbers. If none, enter 0 (zero).) Number Applied Number Received/ For/ Submitted Published Number Applied For/Submitted Number Received/Published Patent(s) Copyright(s) Trademark(s) Scientific Publication(s) Part IV. Other SBIR funding 18. How many SBIR awards did your company receive prior to the Phase I that led to this Phase II? a. Number of previous Phase I awards b. Number of previous Phase II awards 95

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19. How many SBIR awards has your company received that are related to the project/technology supported by this Phase II award? a. Number of related Phase I awards b. Number of related Phase II awards Part V. Funding and other assistance 20. Prior to this SBIR Phase II award, did your company receive funds for research or development of the technology in this project from any of the following sources? ___Prior SBIR (Excluding the Phase I, which proceeded this Phase II.) a. b. ___Prior non-SBIR federal R&D c. ___Venture Capital d. ___Other private company e. ___Private investor f. ___Internal company investment (including borrowed money) g. ___State or local government h. ___College or University ___ Other Specify _________ i. Commercialization of the results of an SBIR project normally requires additional developmental funding. Questions 21 and 22 address additional funding. Additional Developmental Funds include non-SBIR funds from federal or private sector sources, or from your own company, used for further development and/or commercialization of the technology developed during this Phase II project. 21. Have you received or invested any additional developmental funding in this project? Yes Continue a. b. No Skip to Question 23 22. To date, what has been the total additional developmental funding for the technology developed during this project? Any entries in the Reported column are based on information previously reported by your firm to DoD or NAS. They are provided to assist you in completing the Developmental funding column. Previously reported information did not include investment by your company or personal investment. Please update this information to include breaking out Private investment and Other investment by subcategory. Enter dollars provided by each of the listed sources. If none, enter 0 (zero).) Source Reported Developmental Funding c. Non-SBIR federal funds $_ _, _ _ _, _ _ _ $_ _, _ _ _, _ _ _ d. Private Investment $_ _, _ _ _, _ _ _ $_ _, _ _ _, _ _ _ (1) U.S. venture capital $_ _, _ _ _, _ _ _ (2) Foreign investment $_ _, _ _ _, _ _ _ (3) Other Private equity $_ _, _ _ _, _ _ _ (4) Other domestic private company $_ _, _ _ _, _ _ _ e. Other sources $_ _, _ _ _, _ _ _ (1) State or local governments $_ _, _ _ _, _ _ _ (2) College or Universities $_ _, _ _ _, _ _ _ f. Not previously reported 96

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(1) Your own company $_ _, _ _ _, _ _ _ (Including money you have borrowed) (2) Personal funds $_ _, _ _ _, _ _ _ 23. Did this award identify matching funds or other types of cost sharing in the Phase II Proposal?109 a. ___ No matching funds / co-investment/cost sharing were identified in the proposal. If a, skip to question 26. b. ___ Although not a DoD Fast Track, matching funds/co-investment/cost sharing were identified in the proposal. c. ___ Yes. This was a DoD Fast Track proposal. 24. Regarding sources of matching or co-investment funding that were proposed for Phase II, check all that apply. a. ___Our own company provided funding (includes borrowed funds) b. ___ A federal agency provided non-SBIR funds c. ___ Another company provided funding f. ___ Another company provided facilities, equipment and/or other in kind support g. ___ An angel or other private investment source provided funding h. ___ Venture Capital provided funding i. 25. How long in months did it take to obtain and finalize agreement(s) for third party funding/in kind support? months. 26. Did you experience a gap between the end of Phase I and the start of Phase II? a. Yes Continue b. No Skip to question 29 27. Project history. Please fill in for all dates that have occurred. Date Phase I ended Month/ year Date Phase II proposal submitted Month /year Date Phase II started Month /year Date Phase II ended Month/ year 28. If you experienced funding gap between Phase I and Phase II for this award, select all answers that apply a. Duration of gap in months. b. ___Stopped work on this project during funding gap. c. ___Continued work at reduced pace during funding gap. d. ___Continued work at pace equal to or greater than Phase I pace during funding gap. e. ___Received bridge funding between Phase I and II. 29. Did you receive assistance in Phase I or Phase II proposal preparation for this award? a. ___ State agency provided assistance b. ___ Mentor company provided assistance c. ___ Regional association provided assistance 109 The words underlined appear only for DoD awards. 97

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d. ___ University provided assistance e. ___ We received no assistance in proposal preparation If e, then end of survey. If a, b, c, or d go to question 30 30. How important was this proposal preparation assistance to your success with the Phase II application? a. ___Critical – would never have succeeded without it b. ___Helpful c. ___Limited Use d. ___No use at all 98

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FIRM Survey You have already provided significant firm information in the DoD SBIR submissions database or in response to an earlier NAS request. In conjunction with that information, the following additional information will help us understand how the SBIR program is contributing to the formation of new small businesses active in federal R&D and how they impact the economy. 3. Was your company founded because of the SBIR Program? c. ___ Yes d. ___ No 4. Information on company founders. (Please enter zeros or the correct number in each pair of blocks.) a. Number of founders. d. Number of other companies started by one or more of the founders. c. Number of founders who have a business background. d. Number of founders who have an academic background 3. What was the most recent employment of the company founders prior to founding this company? (Indicate all that apply.) a. ___ Other private company b. ___ College or University e. ___ Government d. ___ Other 4. What percentage of your company’s growth would you attribute to the SBIR program after receiving its first SBIR award? a. ___ Less than 25% b. ___ 25% to 50% c. ___ 51% to 75% d. ___ More than 75% 5. What Percentage of your Total R&D Effort (Man-hours of Scientists and Engineers) was devoted to SBIR activities during the most recent fiscal year? ___% 6. What Percentage of your Total R&D Expense was devoted to SBIR activities during the most recent fiscal year? _____% 7. Which, if any, of the following has your company experienced as a result of the SBIR Program? (Select all that apply.) a. ___Made an initial public stock offering in calendar year b. ___Planned an initial public stock offering for 2003/2004. c. ___Established one or more spin-off companies How many spin-off companies? 99

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d. ___None of the above. The remaining questions address how market analysis and sales of the commercial results of SBIR are accomplished at your company. 8. This company normally first determines the potential commercial market for an SBIR product, process or service a. ___ Prior to submitting the Phase I proposal b. ___ Prior to submitting the Phase II proposal c. ___ During Phase II d. ___ After Phase II 9. Market research/analysis at this company is accomplished by Select all that apply a. ___The Director of Marketing or similar corporate position b. ___ One or more employees as their primary job. c. ___ One or more employees as an additional duty d. ___ Consultants e. ___ The Principal Investigator f. ___ The company President or CEO 10. Sales of the product(s), process (es) or service(s) that result from commercialising an SBIR award at this company are accomplished by Select all that apply a. ___ An in house sales force b. ___ Corporate officers e. ___ Other employees f. ___ Independent distributors or other company (ies) with which we have marketing alliances g. ___ Other company (ies), which incorporate our product into their own. h. ___ Spin off company (ies) g. ___ Licensing to another company 100