An Assessment of the SBIR Program at the National Science Foundation (2008)
Chapter: Appendix E: Structured Interview Guide Used in Coryell Study of Phase IIB Grants
Appendix E
Structured Interview Guide Used in Coryell Study of Phase IIB Grants
NSF SBIR COMMERCIAL RESULTS INTERVIEW
Identifying information
Company Name: <text>
Current Address: <text>
Year Company Founded: <year>
Year of First NSF SBIR/STTR grant: <year>
President/CEO: <text>
Contact Name: <text>
Title: <text>
Telephone: <text>
Fax: <text>
E-mail: <text>
Company Web address: <text>
Date (or dates) of interview: <month xx, yyyy>
Designated lead for marketing in co., e.g., President, Marketing VP, other: <text>
Benefits
Describe benefits to the company, derived from NSF SBIR grant(s) by checking any of the following items: <Y/N>
Enabled research that otherwise would not have been undertaken
Enabled significantly faster development of product or proof of concept
Opened new market opportunities with new applications/uses for products
Enabled access to critical private equity capital
Enabled access to critical private debt capital
Enabled licensing agreements for intellectual property
Led to key strategic alliance(s) with other firm(s)
Led to new business segments of the firm and/or spin-offs
Enabled hiring or retention of key professionals/technical staff
Other benefits: _____ <text> ______________(explain)
Comments: <text> ________________________________________________
Commercial Products
Have you had commercial sales, products, processes, or services (excluding any government R&D grants) that you would attribute, directly or indirectly, to one or more NSF SBIR grants? <Y/N> Yes___ No___
In your opinion, if there had there been no SBIR program, would the product, process, or service been developed? If so, within the same time frame? (Use table below.)
Please list in the table below each product, service, or process developed that has generated revenues of at least $100,000, and describe each briefly under “Comments.” Please show estimates of sales for each product, service, or process, accounting accuracy not needed. (Do not include R&D or IP revenues here.)
Product / Product Line | Year SBIR Phase II Start | Year First Sales | Develop Anyway (Y/N) | Within Same Time Frame (Y/N) | Estimate Sales in Current FY | Estimate Cumulative Sales |
<text> | <year> | <dollars> | <Y/N> | <Y/N> | <dollars> | <dollars> |
<text> | <year> | <dollars> | <Y/N> | <Y/N> | <dollars> | <dollars> |
Comments (including product descriptions): <text>
_________________________________________________________________
________________________________________________________________
Company Sales
Please provide some information on your company sales and those sales that relate to SBIR. Please identify specific sources of revenue, and if confidential, only identify by category and not name the entity.
List major/significant customers for NSF/SBIR-related products, services, or processes under “Comments.”
| Total Company Sales (in dollars) | Attributed to Internally Funded R&D or Acquired Technology | Attributed to NSF/ SBIR | Attributed to Other Agency SBIR |
Total Actual Sales for Last Fiscal Year | <dollars> | $ amount: <dollars> % sales: | $ amount: <dollars> % sales: | $ amount: <dollars> % sales: |
Total of Cumulative Sales since (insert date) | <dollars> | $ amount: <dollars> % sales: <percentage> | $ amount: <dollars> % sales: <percentage> | $ amount: <dollars> % sales: <percentage> |
Comments (including revenue sources): <text>
_________________________________________________________________
________________________________________________________________
Are there any products, services, or processes in your pipeline scheduled to generate new sales within the next 12 months? If so, projected lifetime sales? <text>
_________________________________________________________________
________________________________________________________________
EXPANDED SECTION 4. Sales/Revenues (Highlighted in italic for emphasis)(Developed in response to Advisory Committee feedback and administered to first15 companies, as well as additional companies interviewed. Shown highlightedin italics for emphasis.)
Company Sales
Please provide estimates of sales for your company in all of its parts, includingall divisions and majority-owned subsidiaries. Do not include joint ventures,spin-offs, licensees, and strategic partners. Use table below. If not confidential,please enter under “Comments” the names of major/significant customers forNSF/SBIR-related products, services, or processes as well as IP recipients.
| Est. product,service, andprocess sales bycompany | Est. royalties tocompany andsales of IP | Est. companyR&D sales togovernment andindustry | Total sales ofcompany |
Actual salesfor mostrecent FY | <dollars> | <dollars> | <dollars> | <dollars> |
Cumulativesales since____(insert year) | <dollars> | <dollars> | <dollars> | <dollars> |
Comments (including customer names): <text>
_________________________________________________________________
________________________________________________________________
New Sales in Economy
Please provide some information on sales of those companies that relate to yourR&D and technologies. Consider only first-tier users of your technologies, anddisregard wider uses and multiplier effects. Use table below. If not confidential,please enter under “Comments” the names of firms that are included in each ofcategory outside your company.
| Totalsales ofcompany | Est. salesby jointventures | Est. salesby spin-offfirms | Est.sales bylicensees | Est. salesby otherpartners | Totaleconomysales |
Actual salesfor mostrecent FY | <dollars> | <dollars> | <dollars> | <dollars> | <dollars> | <dollars> |
Cumulativesales since____(insertyear) | <dollars> | <dollars> | <dollars> | <dollars> | <dollars> | <dollars> |
Comments (including firm names): <text>
_________________________________________________________________
________________________________________________________________
Technology Sources of Sales in EconomyPlease identify funding sources of technology that generated revenues in theeconomy identified above, and apportion the contribution to total economy salesby each funding source category. Please list under “Comments” the SBIR agencies outside NSF that have been principal R&D funding sources.
| Totaleconomysales | Attributedto companyfunded R&Dor acquiredtechnology | Attributed toNSF/ SBIR | Attributed toother agencySBIR | Unattributedto company-performedR&D |
Actualsales formost recentFY | <dollars> | $ amount:<dollars> % sales: | $ amount:<dollars> % sales: | $ amount:<dollars> % sales: | $ amount:<dollars> % sales: |
Cumulativesales since____(insertyear) | <dollars> | $ amount:<dollars> % sales:<percentage> | $ amount:<dollars> % sales:<percentage> | $ amount:<dollars> % sales:<percentage> | $ amount:<dollars> % sales:<percentage> |
Comments (including SBIR funding agencies): <text>
_________________________________________________________________
________________________________________________________________
Next Year
Are there any products, services, or processes in your pipeline scheduled togenerate new sales within the next 12 months? If so, what are their projectedlifetime sales? <text>
_________________________________________________________________
________________________________________________________________
Investments:
List sources and dollar amounts of investment capital to date that are attributable, directly or indirectly, to results gained from SBIR grants.
Identify specific sources of investment, and if confidential, only identify by category and not name the entity.
Source | Total $ for Company | NSF/SBIR $ | Other SBIR $ |
Friends, Family, Founders | <dollars> | <dollars> | <dollars> |
High Net Worth Individuals—“Angels” | <dollars> | <dollars> | <dollars> |
Organic Growth—“Bootstrapping” | <dollars> | <dollars> | <dollars> |
Customer Funding | <dollars> | <dollars> | <dollars> |
Strategic Partners | <dollars> | <dollars> | <dollars> |
Venture Capital | <dollars> | <dollars> | <dollars> |
Governmental Entities (Federal, state, local) | <dollars> | <dollars> | <dollars> |
Initial Public Offering (IPO) | <dollars> | <dollars> | <dollars> |
Later Stage Stock Sales | <dollars> | <dollars> | <dollars> |
Other Entities (specify) | <dollars> | <dollars> | <dollars> |
Total: | <dollars> | <dollars> | <dollars> |
Comments: (Sources, including City/State) <text>
_________________________________________________________________
________________________________________________________________
Number of Patents:
| Total Company | NSF/SBIR Related | Other SBIR Related |
U.S. Issued Patents | <number> | <number> | <number> |
Issued Foreign Patents | <number> | <number> | <number> |
Applied for but not issued—U.S. | <number> | <number> | <number> |
Applied for but not issued—Foreign | <number> | <number> | <number> |
Total Patents received and applied for | <number> | <number> | <number> |
Comments (assess strength of company IP): <text>
_________________________________________________________________
________________________________________________________________
Licenses/Other Strategic Alliance Agreements
Have you licensed SBIR-related technology to other entities? <Y/N> Yes__ No____
Number of Licensing Agreements
| Total Company | NSF/SBIR Related | Other Agency SBIR Related |
# IP Protected Technologies Licensed | <number> | <number> | <number> |
# of Licensing Agreements with U.S. Firms | <number> | <number> | <number> |
# of Licensing Agreements with Foreign-Owned Firms | <number> | <number> | <number> |
# of Marketing or Other Agreements | <number> | <number> | <number> |
# IP sales | <number> | <number> | <number> |
Dollar Value of Licensing Agreements
| Total $ for Company | NSF/SBIR Related $ | Other Agency SBIR Related $ |
U.S. Licensing Revenues for Last Fiscal Year (Best estimate of actual, not projected) | <dollars> | <dollars> | <dollars> |
Foreign Licensing Revenues for Last Fiscal Year (Best estimate of actual, not projected) | <dollars> | <dollars> | <dollars> |
Cumulative Licensing & Royalty Revenue from U.S. Firms | <dollars> | <dollars> | <dollars> |
Cumulative Licensing & Royalty Revenue from Foreign-Owned Firms | <dollars> | <dollars> | <dollars> |
Comments (Licensees, City/State, Nationality): <text>
_________________________________________________________________
________________________________________________________________
Joint Ventures/Spin-offs/Acquisitions
Has SBIR technology developed by your firm been responsible for or led to any joint ventures, spin-offs, or acquisitions involving your firm? <Y/N> Yes__ No___
If “Yes,” provide information on related cumulative products, sales, investment, employment, and founding year date for each, if possible.
JV/ Spin-offs/ Acquisitions | Company Partner/ Spin-off | Product Industry or Sector | Year Venture Established or Acquired | Estimated Cumulative Sales | Estimated Total Investment | Current # of New Jobs Created to Date |
<text> | <text> | <text> | <year> | <dollars> | <dollars> | <number> |
<text> | <text> | <text> | <year> | <dollars> | <dollars> | <number> |
<text> | <text> | <text> | <year> | <dollars> | <dollars> | <number> |
Comments: <text>
_________________________________________________________________
________________________________________________________________
Employment
Has your company experienced an increase in the number of employees as a direct result of work related to SBIR Grants? <Y/N> Yes __ No ___
Employment at time of first SBIR/STTR grant: | <number> |
Current employment: | <number> |
Comments: <text>
_________________________________________________________________
________________________________________________________________
University and Research Laboratory Collaborations:
Have you or your company collaborated with any universities either in the U.S. or internationally on NSF SBIR research? <Y/N> Yes ____ No _____
Have you or your company collaborated with any National Laboratories or private research laboratories either in the U.S. or internationally on NSF SBIR research? <Y/N> Yes ____ No _____
(Please enter numbers in table below.)
SBIR Projects | Consultant/Subcontract/Other |
Current projects with collaboration (estimate number) | <number> |
Previous projects with collaboration (estimate number prior to current calendar year) | <number> |
Names of collaborating academic institutions on NSF research | <number> |
Names of collaborating national laboratories and private research labs on NSF research | <number> |
Comments: (Collaborating institutions, i.e., universities) <text>
_________________________________________________________________
________________________________________________________________
Grants Received
Number and dollar amounts of SBIR Grants Received. (Use table below.)
Number and dollar amounts of STTR Grants Received. (Use table below.)
NSF Grants | Number of Grants | Dollar Amount |
SBIR Phase I | <number> | <dollars> |
SBIR Phase II | <number> | <dollars> |
Total Grants: | <number> | <dollars> |
STTR Phase I | <number> | <dollars> |
STTR Phase II | <number> | <dollars> |
Total Grants: | <number> | <dollars> |
Narrative questions: Open-ended opportunity to expand on questionsand for unstructured feedback.
Was an SBIR grant instrumental in the founding or survival of the company at any point? <text>
Are individual employees within your company rewarded or formally recognized for completing proposals and receiving SBIR grants? <text>
Is there anything you would like to add that has not been covered in this survey? <text>
