Appendix B
NRC Non-participant Survey

  1. As no database is 100 percent accurate, please confirm whether your firm is still participating in the NIH SBIR program. Has your firm applied for an NIH SBIR award at any time in the years 2003-2006 inclusive?

    • Yes.

    • No.

  1. Are you still employed with the firm mentioned in the email that invited you to participate in this survey?

    • Yes.

    • No.

  1. Does your firm plan to submit SBIR applications to NIH in the future?

    • Yes.

    • No.

  1. Your company has not applied for a new NIH SBIR award since the end of 2002. Your answers to the questions below will help us to understand why you have decided not to apply. Please select as many responses as required.

    • Company is out of business.

    • We are no longer a research oriented company.

    • We are no longer working in technical areas that are likely to be funded by NIH.

    • The competition for awards is such that the likelihood of winning an award is too small to justify the effort to apply.



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Appendix B NRC Non-participant Survey 1. As no database is 100 percent accurate, please confirm whether your firm is still participating in the NIH SBIR program. Has your firm applied for an NIH SBIR award at any time in the years 2003-2006 inclusive? - Yes. - No. 2. Are you still employed with the firm mentioned in the email that invited you to participate in this survey? - Yes. - No. 3. Does your firm plan to submit SBIR applications to NIH in the future? - Yes. - No. 4. Your company has not applied for a new NIH SBIR award since the end of 2002. Your answers to the questions below will help us to understand why you have decided not to apply. Please select as many responses as required. - Company is out of business. - We are no longer a research oriented company. - We are no longer working in technical areas that are likely to be funded by NIH. - The competition for awards is such that the likelihood of winning an award is too small to justify the effort to apply. 7

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77 APPENDIX B - The selection mechanism is not one that we believe will allow us to make winning proposals. - The risk to our IP or business secrets during the selection procedure is too high. - The delays in funding are too long to make the effort worthwhile. - We are no longer eligible for the program because we have more than 500 employees. - We are no longer eligible for the program because we are now a publicly owned company with more than 50 percent institutional ownership. - We are no longer eligible for the program because we are majority foreign-owned. - We are no longer eligible for the program because we are majority institution-owned (e.g., by venture capital companies). - The size of awards is insufficient to justify the effort involved in applying. - Other (please specify). 5. If you had to pick just one factor as the primary reason for non- participation in the program, what would it be? Please select one answer only: - Company is out of business. - We are no longer a research oriented company. - We are no longer working in technical areas that are likely to be funded by NIH. - The competition for awards is such that the likelihood of winning an award is too small to justify the effort. - The selection mechanism is not one that we believe will allow us to make winning proposals. - The risk to our IP or business secrets during the selection procedure is too high. - The delays in funding are too long to make the effort worthwhile. - We are no longer eligible for the program because we have more than 500 employees. - We are no longer eligible for the program because we are now a publicly owned company with more than 50 percent institutional ownership. - We are no longer eligible for the program because we are majority foreign-owned. - We are no longer eligible for the program because we are majority institution-owned (e.g., by venture capital companies). - The size of awards is insufficient to justify the effort involved in applying. - Other (please specify).

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7 APPENDIX B 6. You indicated above that the primary reason why your company is ineligible is because of ownership rules. Would a change in the rules to make firms with 51 percent or more institutional ownership eligible lead you to start applying to the program again? - Yes. - No. - Not applicable. 7. You indicated above that the small size of awards was your primary reason for non-participation. If Phase I and Phase II awards were increased in size by 50 percent, would you start to apply again? - Yes. - No. - Not applicable. 8. You indicated that funding delays were the primary reason for non- participation. If there were a reduction of 50 percent in delays between Phase I application and funding, and between Phase I and II funding, would you start to apply again for the program? - Yes. - No. - Not applicable. 9. Has your firm received investment funding from institutions such as venture capital firms or other corporations (not U.S. individuals)? - Yes. - No. 10. Do these institutions own more than 50 percent of your company? - Yes. - No. 11. When did your firm become 51 percent institution-owned (mm/yy)? (Please estimate if necessary.) 12. What other sources of funding have you found for your projects since you last applied for SBIR funding at NIH? - Other federal agency funding. - SBIR funding from other agencies. - U.S. venture capital. - Funding from other companies. - Contract research funding. - Angel investors.

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79 APPENDIX B - Capital from your personal resources. - Investment by your company. - University funding. - Investment from state sources.