Appendix C
NRC Phase I Survey

This section describes a survey of Phase I SBIR awards over the period 1992–2001. The intent of the survey was to obtain information on those which did not proceed to Phase II, although most that did receive a Phase II were also surveyed.

Over that period the five agencies (DoD, DoE, NIH, NASA, and NSF) made 27,978 Phase I awards. Of the total number for the five agencies, 7,940 Phase I awards could be linked to one of the 11,214 Phase II awards made from 1992–2001. To avoid putting an unreasonable burden on the firms which had many awards, we identified all firms which had over ten Phase I awards that apparently had not received a Phase II. For those firms, we did not survey any Phase I awards that also received a Phase II. This amounted to 1,679 Phase Is that were not surveyed.

We chose to survey the principal investigator (PI) rather than the firm both to reduce the number of surveys that any person would have to complete, and because if the Phase I had not gone on to a Phase II, the PI was more likely to have any memory of it than would the firm officials. There were no PI email addresses for 5,030 Phase I, a fact that reduced the number of surveys sent since the survey was conduced by email.

Thus there were 21,269 surveys (27,978 minus 1,679 minus 5,030 = 21,269) emailed to 9,184 PIs. Many PIs had received multiple Phase Is. Of these surveys, 6,770 were bounced (undeliverable) email. This left possible responses of 14,499. Of these, there were 2,746 responses received. The responses received represented 9.8 percent of all Phase I awards for the five agencies, or 12.9 percent of all surveys emailed, and 18.9 percent of all possible responses.

The agency breakdown, including Phase I Survey results, is given in Table App-C-1.



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Appendix C NRC Phase I Survey This section describes a survey of Phase I SBIR awards over the period 1992– 2001. The intent of the survey was to obtain information on those which did not proceed to Phase II, although most that did receive a Phase II were also surveyed. Over that period the five agencies (DoD, DoE, NIH, NASA, and NSF) made 27,978 Phase I awards. Of the total number for the five agencies, 7,940 Phase I awards could be linked to one of the 11,214 Phase II awards made from 1992–2001. To avoid putting an unreasonable burden on the firms which had many awards, we identified all firms which had over ten Phase I awards that apparently had not received a Phase II. For those firms, we did not survey any Phase I awards that also received a Phase II. This amounted to 1,679 Phase Is that were not surveyed. We chose to survey the principal investigator (PI) rather than the firm both to reduce the number of surveys that any person would have to complete, and because if the Phase I had not gone on to a Phase II, the PI was more likely to have any memory of it than would the firm officials. There were no PI email addresses for 5,030 Phase I, a fact that reduced the number of surveys sent since the survey was conduced by email. Thus there were 21,269 surveys (27,978 minus 1,679 minus 5,030 = 21,269) emailed to 9,184 PIs. Many PIs had received multiple Phase Is. Of these surveys, 6,770 were bounced (undeliverable) email. This left possible responses of 14,499. Of these, there were 2,746 responses received. The responses received repre- sented 9.8 percent of all Phase I awards for the five agencies, or 12.9 percent of all surveys emailed, and 18.9 percent of all possible responses. The agency breakdown, including Phase I Survey results, is given in Table App-C-1. 

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 APPENDIX C TABLE App-C-1 Agency Breakdown for Phase I Survey Phase I Surveys by Phase I awards, Answered Survey Agency 1992–2001 (Number) Answered Survey (%) DoD 13,103 1,198 9 DoE 2,005 281 14 NASA 3,363 303 9 NIH 7,049 716 10 NSF 2,458 248 10 Total 27,978 2,746 10

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 APPENDIX C NRC Phase I Survey Results NOTE: ALL RESuLTS APPEAR IN BOLD. TWO SETS OF RESuLTS ARE REPORTED—THOSE FOR RESPONDENTS ACROSS 5 AGENCIES (DOD, NIH, NSF, DOE, AND NASA) AND THOSE FOR ONLY NSF. NSF RESuLTS APPEAR IN PARENTHESES. ExPLANATORY NOTES ARE IN A TYPEWRITER FONT. 2,746 (248) responded to the survey. Of these 1,380 (113) received the follow on phase II. 1,366 (135) received only a Phase I. 1. Did you receive assistance in preparation for this Phase I proposal? Phase I only Received Phase II 95% (97%) No Skip to Question . 93% (93%) No 5% (3%) Yes Go to Question . 7% (8%) Yes 2. If you received assistance in preparation for this Phase I proposal, put an X in the first column for any sources that assisted and in the second column for the most useful source of assistance. Check all that apply. Answered by 74 (4) Phase I only and 91 (9) Phase II who received assistance. Phase I only Received Phase II Assisted/Most Useful Assisted/Most Useful 10/3 (0/0) State agency provided assistance 11/10 (2/2) 15/9 (0/0) Mentor company provided assistance 21/15 (1/0) 31/17 (1/1) University provided assistance 34/22 (5/4) 16/8 (2/2) Federal agency SBIR program 25/19 (2/2) Managers or technical representatives provided assistance 3. Did you receive a Phase II award as a sequential direct follow-on to this Phase I award? If yes, please check yes. Your surey would hae been auto- matically submitted with the HTML format. Using this Word format, you are done after answering this question. Please email this as an attachment to jcahill@brtrc.com or fax to Joe Cahill 70 0 97. Thank you for you participation. 2,746 (248) responses. 50% (54%) No. We did not receive a follow-on Phase II after this Phase I. 50% (46%) Yes. We did receive the follow-on Phase II after this Phase I.

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 APPENDIX C 4. Which statement correctly describes why you did not receive the Phase II award after completion of your Phase I effort. Select best answer. All ques- tions which follow were answered by those 1,366 (135) who did not receive the follow on Phase II. % based on 1,366 (135) responses. 33% (32%) The company did not apply for a Phase II. Go to question 5. 63% (58%) The company applied, but was not selected for a Phase II. Skip to question 6. 1% (1%) The company was selected for a Phase II, but negotiations with the government failed to result in a grant or contract. Skip to question 6. 3% (8%) Did not respond to question 4. 5. The company did not apply for a Phase II because: Select all that apply. % based on 446 (43) who answered “The company did not apply for a Phase II” in question 4. 38% (53%) Phase I did not demonstrate sufficient technical promise. 11% (37%) Phase II was not expected to have sufficient commercial promise. 6% (5%) The research goals were met by Phase I. No Phase II was required. 34% (14%) The agency did not invite a Phase II proposal. 3% (7%) Preparation of a Phase II proposal was considered too difficult to be cost effective. 1% (0%) The company did not want to undergo the audit process. 8% (7%) The company shifted priorities. 5% (5%) The PI was no longer available. 6% (2%) The government indicated it was not interested in a Phase II. 13% (5%) Other—explain: Commercial partner reluctance; death of key personnel 6. Did this Phase I produce a noncommercial benefit? Check all responses that apply. % based on 1,366 (135). 59% (41%) The awarding agency obtained useful information. 83% (79%) The firm improved its knowledge of this technology. 27% (27%) The firm hired or retained one or more valuable employees. 17% (18%) The public directly benefited or will benefit from the results of this Phase I. Briefly explain benefit.

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 APPENDIX C 25 responses explaining benefits. Published and presented scientific results, led to adances in field () Work referenced by many others () New modeling capability of -phase flows commercially aailable () Led to subsequent Phase I and Phase II awards () Improed software for analyzing unstructured data () Demonstrated upgrade to electric transmission distribution grid () Enironmentally safe alternatie () Led eentually to product produced by Adelphi spinoff () Assessment materials were produced that were incorporated into the com- pany’s textbooks. An assessment framework was deeloped that guided commercial textbook deelopment () Production of less expensie natural gas () Will be helpful to deelop an efficient NOx emission control technology Project clearly established student ability to use assistie technology to per- form classroom actiities () Led to another application () Recycling post consumer bumpers () Publicized hot (hard??) to make dense nanostructured nickel oxide battery electrodes () Sensors used to protect the Liberty Bell from damage () Proided training for interns and student workers () We became more proficient at carrying out SBIR research, and went on to other projects were we succeeded in getting to Phase . We are now a thriing commercially iable business () Products were commercialized () Technology was used to deelop current products () Knowledge of nanoparticle dispersion () 13% (16%) This Phase I was essential to founding the firm or to keeping the firm in business. 8% (8%) No 7. Although no Phase II was awarded, did your company continue to pursue the technology examined in this Phase I? Select all that apply. % based on 1,366 (135). 46% (45%) The company did not pursue this effort further. 22% (22%) The company received at least one subsequent Phase I SBIR award in this technology. 14% (20%) Although the company did not receive the direct follow-on Phase II to this Phase I, the company did receive at least one other subsequent Phase II SBIR award in this technology.

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 APPENDIX C 12% (10%) The company received subsequent federal non-SBIR contracts or grants in this technology. 9% (12%) The company commercialized the technology from this Phase I. 2% (4%) The company licensed or sold their rights in the technology developed in this Phase I. 16% (13%) The company pursued the technology after Phase I, but it did not result in subsequent grants, contracts, licensing or sales. Part II. Commercialization 8. How did you, or do you, expect to commercialize your SBIR award? Select all that apply. % based on 1,366 (135). 33% (26%) No commercial product, process, or service was/is planned. 16% (14%) As software 32% (32%) As hardware (final product component or intermediate hardware product) 20% (36%) As process technology 11% (13%) As new or improved service capability 15% (12%) As a research tool 4% (2%) As a drug or biologic 3% (6%) As educational materials 9. Has your company had any actual sales of products, processes, services, or other sales incorporating the technology developed during this Phase I? Select all that apply. % based on 1,366 (135). 5% (4%) Although there are no sales to date, the outcome of this Phase I is in use by the intended target population. 65% (59%) No sales to date, nor are sales expected. Go to question 11. 15% (10%) No sales to date, but sales are expected. Go to question 11. 9% (15%) Sales of product(s) 1% (3%) Sales of process(es) 6% (10%) Sales of services(s) 2% (4%) Other sales (e.g., rights to technology, sale of spin-off company, etc.) 2% (3%) Licensing fees 10. 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 phase I? If other SBIR awards contributed to the ultimate commercial outcome, estimate only the share of total sales appropriate to this

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7 APPENDIX C Phase I 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 dollars. If none, enter 0 [zero]; leave blank if unknown.) Your Company Licensee(s) 89 of 147 after 1999 11 of 13 after 1999 a. Year when first sale occurred b. Total Sales Dollars of (12 of 22 after 1999) (1 of 1 after 1999) Product(s) Process(es) or Service(s) to date $84,735 ($93,167) $3,947 ($741) Sale Aerages $20,000,000 ($2,033,589) Top 5 Sales 1. Accounts for 43% (62%) $15,000,000 ($2,000,000) 2. $5,600,000 ($1,893,000) of all sales 3. $5,000,000 ($1,200,000) 4. $4,200,000 ($700,000) 5. c. Other Total Sales Dollars (e.g., Rights to technology, Sale of spin-off company, etc.) to date $1,878 ($2,222) $0 (0) Sale Aerages Sale averages determined by dividing totals by 1,366 (135) responders 11. If applicable, please give the number of patents, copyrights, trademarks and/ or scientific publications for the technology developed as a result of Phase I. (Enter numbers. If none, enter 0 [zero]; leave blank if unknown.) #Applied For or Submitted / # Received/Published 319 (48) / 251 (35) Patent(s) 50 (16) / 42 (16) Copyright(s) 52 (15) / 47 (14) Trademark(s) 521 (52) / 472 (49) Scientific Publication(s) 12. In your opinion, in the absence of this Phase I award, would your company have undertaken this Phase I research? Select only one lettered response. If you select c., and the research, absent the SBIR award, would hae been different in scope or duration, check all appropriate boxes. Unless other- wise stated, % are based on 1,366 (135).

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 APPENDIX C a. 5% (8%) Definitely yes b. 7% (5%) Probably yes, similar scope and duration c. 16% (21%) Probably yes, but the research would have been different in the following way % based on 218 (29) who responded probably yes, but research would have . . . 1) 75% (72%) Reduced scope 2) 4% (0%) Increased scope 21% (28%) No response to scope 3) 5% (3%) Faster completion 4) 51% (59%) Slower completion 44% No response to completion rate d. 14% (15%) Uncertain e. 40% (34%) Probably not f. 16% (11%) Definitely not g. 4% (0%) No response to question 12 Part III. Funding and other assistance Commercialization of the results of an SBIR project normally requires additional developmental funding. Questions 13 and 14 address additional funding. Addi- tional 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 I project. 13. Have you received or invested any additional developmental funding in this Phase I? % based on 1,366 (135). 25% (27%) Yes. Go to question 14. 72% (68%) No. Skip question 14 and submit the survey. 3% (5%) No response to question 13. 14. To date, what has been the approximate total additional developmental fund- ing for the technology developed during this Phase I? (Enter numbers. If none, enter 0 [zero]; leave blank if unknown.)

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9 APPENDIX C Source # Reporting Developmental that source Funding (Average Funding) 79 (17) $72,697 ($12,306) a. Non-SBIR federal funds b. Private Investment 13 (12) $4,114 ($1,037) (1) U.S. Venture Capital 8 (19) $4,288 ($185) (2) Foreign investment 20 (13) $7,605 ($2,963) (3) Other private equity 39 (20) $8,522 ($6,667) (4) Other domestic private company c. Other sources 20 (23) $1,672 ($1,110) (1) State or local governments 6 (18) $293 (0) (2) College or Universities d. Your own company 149 (30) $21,548 ($16,733) (Including money you have borrowed) 54 (21) $4,955 ($963) e. Personal funds of company owners Average Funding determined by dividing totals by 1,366 (135) responders.