ICR A11 Section 280 Clearance NASA SBIR-STTR CX survey

Request for Approval under the “Generic Clearance for Improving Customer Experience: OMB Circular A-11, Section 280 Implementation”

(OMB Control Number: 2700-0181)

TITLE OF INFORMATION COLLECTION: NASA Small Business Innovation Research/Small Business Technology Transfer (SBIR/STTR) Program Customer Experience Survey

PURPOSE OF COLLECTION:

What are you hoping to learn / improve? How do you plan to use what you learn? Are there artifacts (user personas, journey maps, digital roadmaps, summary of customer insights to inform service improvements, performance dashboards) the data from this collection will feed?

The NASA SBIR/STTR Program hopes to learn about its customers’ experiences with the Program’s various phases and vehicles and to leverage those learnings to further investigate and substantiate potential redesigns of those phases and vehicles.

TYPE OF ACTIVITY: (Check one)

[ ] Customer Research (Interview, Focus Groups)

[ X ] Customer Feedback Survey

[ ] User Testing

ACTIVITY DETAILS

1. How will you collect the information? (Check all that apply)

[ X] Web-based or other forms of Social Media

[ ] Telephone

[ ] In-person

[ ] Mail

[ ] Other, Explain

2. Who will you collect the information from?

Explain who will be interviewed and why the group is appropriate for the Federal program / service to connect with. Please provide a description of how you plan to identify your potential group of respondents and if only a sample will be solicited for feedback, how you will select them(e.g., anyone who provided an email address to a call center rep, a representative sample of Veterans who received outpatient services in May 2019, do you have a list of customers to reach out to (e.g., a CRM database that has the contact information, intercept interviews at a particular field office?)

The NASA SBIR/STTR Program will solicit voluntary responses (a) from all users who began an SBIR or STTR proposal in the Program’s proposal submission platform, the Electronic Handbook (EHB), in the past three years and (b) from all registrants for the Program’s 2020 Innovation and Opportunity Virtual Conference (IOC).

3. How will you ask a respondent to provide this information?

(e.g., after an application is submitted online, the final screen will present the opportunity to provide feedback by presenting a link to a feedback form / an actual feedback form)

The NASA SBIR/STTR Program will email a link to the survey to the aforementioned respondent universe.

4. What will the activity look like?

Describe the information collection activity – e.g. what happens when a person agrees to participate? Will facilitators or interviewers be used? What’s the format of the interview/focus group? If a survey, describe the overall survey layout/length/other details? If User Testing, what actions will you observe / how will you have respondents interact with a product you need feedback on?

When a person agrees to participate by clicking on the link, the person will be presented with a survey with skip logic that is responsive to the answers to certain questions.

5. Please provide your question list.

Paste here the questions or prompts presented to participants in your activity. If you have an interview / facilitator guide, that can be attached to the submission and referenced here.

Please make sure that all instruments, instructions, and scripts are submitted with the request.

Section 1: General NASA SBIR/STTR

Section 1 Description: The following questions will assess your general awareness and experience with the NASA SBIR/STTR program.

1. How did you first learn about the NASA SBIR/STTR program? Select all that apply

   1. Advertisement

   2. Event

   3. Partner

   4. Web

   5. Word of Mouth

   6. Other (open text box)

   7. N/A

2. What interested you or currently interests you in participating in the NASA SBIR/STTR program? Select all that apply

   1. Funding

   2. Ability to support NASA’s mission

   3. Opportunity to develop technology

   4. Access to the NASA resources (ex. people, technology, flight testing, etc.)

   5. Networking opportunities

   6. Other (open text field)

   7. N/A

3. What other NASA SBIR/STTR services would you find helpful?

Open Text Field

4. If in the last 3 years you have chosen NOT to submit a SBIR/STTR Phase I proposal, please explain why.

Open Text Field

5. What support would help you submit a NASA SBIR/STTR Phase I proposal?

Open Text Field

6. Are you aware that Phase III contracts can be awarded following a Phase I being awarded (not even completed)?

Yes

No

Section 2: NASA SBIR Phase I

Section 2 Description: The following questions will assess your experience and collect suggested improvements to the NASA SBIR Phase I process, covering the proposal process through the completion of an award. This section is specific to SBIR Phase I, subsequent sections in this survey will address STTR Phase I. Please provide responses based on your experiences in the last 3 years, unless otherwise noted.

1. Have you submitted a NASA SBIR Phase I proposal in the last 3 years?

   1. Yes. (Question logic: If yes complete all questions in this section)

   2. No. (Question logic: If no, skip to section 3)

2. The following statements will assess your experience with the NASA SBIR Phase I proposal process. Please answer the following statements from the perspective of your most recent SBIR Phase I proposal within the last 3 years:

(5-point Likert scale) (strongly agree, agree, neither agree nor disagree, disagree, strongly disagree) or N/A

1. The SBIR Phase I proposal process was clear

2. I had all the information I needed to submit my SBIR Phase I proposal

3. The SBIR Phase I financial award of $125,000 was worth the effort of submitting a proposal

4. I had sufficient time to complete my SBIR Phase I submission

3. If you have received an SBIR Phase I award, the following statements will assess your experience upon completing performance of your NASA SBIR Phase I award. Please answer the following statements from the perspective of your most recently completed SBIR Phase I award within the last 3 years:

(5-point Likert scale) (strongly agree, agree, neither agree nor disagree, disagree, strongly disagree) or N/A

1. The SBIR Phase I financial award of $125,000 was sufficient to establish the merit of my concept

2. The SBIR Phase I timeline was sufficient to establish the merit of my concept

3. I had a clear customer/market in mind at the start of my SBIR Phase I award

4. The SBIR Phase I process sufficiently prepared me to submit a proposal for SBIR Phase II

4. What is the most impactful improvement that the NASA SBIR/STTR program could make to improve the SBIR Phase I process?

Open text field

5. In total, how many SBIR Phase I awards has your company received from NASA?

open text [whole number validation]

6. Have you participated in the I-Corps program?

Yes

No

7. If you participated in the I-Corps program, please rate how beneficial it was?

5-point rating scale with end labels of “Not beneficial at all” (rating =1) and “Extremely Beneficial” (rating =5) N/A

Section 3: NASA STTR Phase I

Section 3 Description: The following questions will assess your experience and collect suggested improvements to the NASA STTR Phase I process, covering the proposal process through the completion of an award. This section refers specifically to those who have received STTR Phase I awards as part of a partnership between a small business and a research institution. Please provide responses based on your experiences in the last 3 years, unless otherwise noted.

1. Have you submitted a NASA STTR Phase I Proposal in the last 3 years?

   1. Yes. (Question logic: If yes complete all questions in this section)

   2. No. (Question logic: If no, skip to section 4)

2. The following statements will assess your experience with the NASA STTR Phase I proposal process. Please answer the following statements from the perspective of your most recent STTR Phase I proposal within the last 3 years:

(5-point Likert scale) (strongly agree, agree, neither agree nor disagree, disagree, strongly disagree) or N/A

1. The STTR Phase I proposal process was clear

2. I had all the information I needed to submit my STTR Phase I proposal

3. The STTR Phase I financial award of $125,000 was worth the effort of submitting a proposal

4. I had sufficient time to complete my STTR Phase I submission

5. The timing of the STTR Phase I solicitation aligned with Research Institutions’ (RI) schedules to allow me to complete my submission

6. I had sufficient time to coordinate with my Small Business/RI partner to complete the STTR Phase I submission.

3. If you have received an STTR Phase I award, the following statements will assess your experience upon completing performance of your NASA STTR Phase I award. Please answer the following statements from the perspective of your most recently completed STTR Phase I award within the last 3 years:

(5-point Likert scale) (strongly agree, agree, neither agree nor disagree, disagree, strongly disagree) or N/A

1. The STTR Phase I financial award of $125,000 was sufficient to establish the merit of my concept

2. The STTR Phase I timeline was sufficient to establish the merit of my concept

3. I had a clear customer/market in mind at the start of my STTR Phase I award

4. The STTR Phase I process sufficiently prepared me to submit a proposal for STTR Phase II

5. Coordinating funding with the Small Business/RI in developing the technology was easy

6. Coordinating scheduling with the Small Business/RI in developing the technology was easy

4. What is the most impactful improvement that the NASA SBIR/STTR Program could make to improve the STTR Phase I process?

Open text field

5. In total, how many STTR Phase I awards has your company or research institution received from NASA?

open text [whole number validation]

6. Have you participated in the I-Corps program?

Yes

No

8. If you participated in the I-Corps program, please rate how beneficial it was?

5 point rating scale with end labels of “Not beneficial at all” (rating =1) and “Extremely Beneficial” (rating =5) or N/A

Section 4: NASA SBIR Phase II

Section 4 Description: The following questions will assess your experience and collect suggested improvements to the NASA SBIR Phase II process, starting from submitting your proposal through the completion of the award. This section is specific to SBIR Phase II, subsequent sections in this survey will address STTR Phase II. Please provide responses based on your experiences in the last 3 years, unless otherwise noted.

1. Have you submitted a NASA SBIR Phase II Proposal in the last 3 years?

   1. Yes. (Question logic: If yes, complete all remaining questions in section 4)

   2. No. (Question logic: If no, skip to question 6 then move to Section 5)

2. The following statements will assess your experience with the NASA SBIR Phase II proposal process. Please answer the following statements from the perspective of your most recent SBIR Phase II proposal within the last 3 years:

(5-point Likert scale) (strongly agree, agree, neither agree nor disagree, disagree, strongly disagree) or N/A

1. The SBIR Phase II proposal process was clear

2. I had the information I needed to submit my SBIR Phase II proposal

3. The SBIR Phase II financial award of $750,000 was worth the effort of submitting a proposal

4. The SBIR Phase II timeline for submission was appropriate

5. I had the support I needed from NASA to submit a SBIR Phase II proposal

3. If you have received a SBIR Phase II award, the following statements will assess your experience upon completing performance of your NASA SBIR Phase II award. Please answer the following statements from the perspective of your most recently completed SBIR Phase II award within the last 3 years:

(5-point Likert scale) (strongly agree, agree, neither agree nor disagree, disagree, strongly disagree) or N/A

1. The SBIR Phase II financial award of $750,000 was sufficient to create a prototype or deliver on my concept

2. The SBIR Phase II timeline was sufficient to create a prototype or deliver on my concept

3. I had a clear customer/market in mind at the start of my SBIR Phase II award

4. I understood the SBIR Post Phase II award vehicles available to further advance my technology

4. What is the most impactful improvement that the NASA SBIR/STTR Program could make to improve the SBIR Phase II process?

Open text field

5. In total, how many SBIR Phase II awards has your company received from NASA?

open text [whole number validation]

6. If you had the option to pursue a NASA SBIR Phase II award at any point in the last 3 years but chose NOT to pursue it, please mark all the reasons that apply:

1. My SBIR Phase I didn’t develop as anticipated

2. I didn’t understand the customer well enough to pursue my concept further

3. I didn’t see a viable commercial market worth exploring for my concept

4. The SBIR Phase I didn’t provide enough time to establish the merit of my concept

5. The SBIR Phase I didn’t provide enough resources to establish the merit of my concept

6. Competing business concerns prevented me from completing the SBIR Phase II application process

7. Other (open text field)

8. N/A

Section 5: NASA STTR Phase II

Section 5 Description: The following questions will assess your experience and collect suggested improvements to the NASA STTR Phase II process, from submitting your proposal through the completion of the award. This section refers specifically to those who have received a STTR Phase II award as part of a partnership between a small business and a research institution. Please provide responses based on your experiences in the last 3 years, unless otherwise noted.

1. Have you submitted a NASA STTR Phase II Proposal in the last 3 years?

   1. Yes. (Question Logic: If yes, If yes, complete all remaining questions in section 5)

   2. No. (Question Logic: If no, skip to question 6 then move to Section 6)

2. The following statements will assess your experience with the NASA STTR Phase II proposal process. Please answer the following statements from the perspective of your most recent STTR Phase II proposal within the last 3 years:

(5-point Likert scale) (strongly agree, agree, neither agree nor disagree, disagree, strongly disagree) or N/A

1. The STTR Phase II proposal process was clear

2. I had all the information I needed to submit my STTR Phase II proposal

3. The STTR Phase II financial award of $750,000 was worth the effort of submitting a proposal

4. I had sufficient time to complete my STTR Phase II submission

5. I had the support I needed from NASA to move to STTR Phase II

6. I had sufficient time to coordinate with my Small Business/RI partner to complete the STTR Phase II submission.

3. If you have received a STTR Phase II award, the following statements will assess your experience upon completing performance of your NASA STTR Phase II award. Please answer the following statements from the perspective of your most recently completed STTR Phase II award within the last 3 years:

(5-point Likert scale) (strongly agree, agree, neither agree nor disagree, disagree, strongly disagree) or N/A

1. The STTR Phase II financial award of $750,000 was sufficient to create a prototype or deliver on my concept

2. The STTR Phase II timeline was sufficient to create a prototype or deliver on my concept

3. I had a clear customer/market in mind at the start of my STTR Phase II award

4. I understood the STTR Post Phase II award vehicles available to further advance my technology

5. Coordinating funding with the Small Business/RI in developing the technology was easy

6. Coordinating scheduling with the Small Business/RI in developing the technology was easy

4. What is the most impactful improvement that the NASA SBIR/STTR Program could make to improve the STTR Phase II process?

Open text field

5. In total, how many STTR Phase II awards has your company or research institution received from NASA?

open text [whole number validation]

6. If you had the option to pursue a NASA STTR Phase II award at any point in the last 3 years but chose NOT to pursue it, please mark all the reasons that apply:

1. My STTR Phase I didn’t develop as anticipated

2. I didn’t understand the customer well enough to pursue my concept further

3. I didn’t see a viable commercial market worth exploring for my concept

4. The STTR Phase I didn’t provide enough time to establish the merit of my concept

5. The STTR Phase I didn’t provide enough resources to establish the merit of my concept

Competing business/institutional concerns prevented me from completing the STTR Phase II application process

6. The partnership with the Small Business/Research Institute (RI) ended

7. Other (open text field)

8. N/A

Section 6: NASA SBIR/STTR Post Phase II

Section 6 Description: The following questions will assess your experience and collect suggested improvements to the NASA SBIR/STTR Post Phase II process. Post Phase II includes Phase II contract option mechanism(s), such as Phase II-E, Civilian Commercialization Readiness Pilot Program (CCRPP), or Sequential Phase II awards. Phase III questions will be included in a separate section. This section is asking for your feedback to Post Phase II mechanisms, regardless if it is associated with a SBIR or STTR award. Please provide responses based on your experiences in the last 3 years, unless otherwise noted.

1. Have you pursued a NASA SBIR/STTR Post Phase II Award in the last 3 years?

   1. Yes. (Question Logic: If yes, complete all remaining questions in section 7)

   2. No. (Question Logic: If no, skip to question 7 and 8 then move to Section 7)

2. The following statements will assess your experience with the NASA SBIR Post Phase II proposal process. Please answer the following statements from the perspective of your most recent Post Phase II proposal within the last 3 years:

(5-point Likert scale) (strongly agree, agree, neither agree nor disagree, disagree, strongly disagree) or N/A

1. The Post Phase II proposal process was clear

2. I had all the information I needed to submit my Post Phase II proposal

3. The Post Phase II financial award was worth the effort of submitting a proposal

4. The Post Phase II timeline for submission was appropriate

5. The requirements of the investment letter of commitment were manageable to my investor

6. The requirements of the investment letter of commitment were manageable to me

3. If you have received a SBIR/STTR Phase II Option award, the following statements will assess your experience upon completing performance of your NASA SBIR/STTR Phase II Option award (such as Phase II-E). Please answer the following statements from the perspective of your most recently completed Phase II Option award within the last 3 years:

(5-point Likert scale) (strongly agree, agree, neither agree nor disagree, disagree, strongly disagree) or N/A

1. The Phase II Option financial award was sufficient to advance my technology enough to attract additional funding for further development

2. The additional timeline of the Phase II Option award was sufficient to advance my technology enough to attract additional funding for further development

3. The Phase II Option financial award was sufficient to advance my technology to achieve commercialization or infusion by a NASA/government customer

4. The additional timeline of the Phase II Option award was sufficient to advance my technology to achieve commercialization or infusion by a NASA/government customer

5. The contract negotiation phase, including providing proof of investor funds, was easy

4. If you have received a SBIR/STTR CCRPP award, the following statements will assess your experience upon completing performance of your NASA SBIR/STTR CCRPP Post Phase II award. Please answer the following statements from the perspective of your most recently completed CCRPP Post Phase II award within the last 3 years:

(5-point Likert scale) (strongly agree, agree, neither agree nor disagree, disagree, strongly disagree) or N/A

1. The CCRPP financial award was sufficient to advance my technology to attract additional funding for further development

2. The additional timeline of the CCRPP award was sufficient to advance my technology to attract additional funding for further development

3. The CCRPP financial award was sufficient to advance my technology for commercialization or infusion by a NASA/government customer

4. The additional timeline of the CCRPP award was sufficient to advance my technology for commercialization or infusion by a NASA/government customer

5. The contract negotiation phase, including providing proof of investor funds, was easy

5. What is the most impactful improvement that the NASA SBIR/STTR program could make to improve the Post Phase II process?

Open text field

6. In total, how many SBIR/STTR Post Phase II awards has your company or Research Institution received from NASA? This includes prior Post Phase II contract options (such as Phase II-E), CCRPP, and/or Sequential Phase II awards. This does not include Phase III awards.

open text [whole number validation]

7. If you had the option to pursue a NASA SBIR/STTR Phase II-E award at any point in the last 3 years but chose NOT to pursue it, please mark all the reasons to apply:

   1. I was not aware of the Post Phase II contract option mechanism(s), such as Phase II-E

   2. I was unable to identify pertinent investors

   3. I was unable to attract sufficient investment due to the level of technical development progress in the Phase II contract

   4. Timing of the contract option application period did not allow me to complete my application

   5. Other (open text field)

   6. N/A

8. If you had the option to pursue a NASA SBIR/STTR Civilian Commercialization Readiness Pilot Program (CCRPP) award at any point in the last 3 years but chose NOT to pursue it, please mark all the reasons that apply:

   1. I was not aware of CCRPP

   2. I was unable to identify pertinent investors

   3. I was unable to attract sufficient investment due to the level of technical development progress prior to the CCRPP application period

   4. Timing of the CCRPP application period did not allow me to complete my application

   5. I was unable to apply for the CCRPP mechanism as I was no longer eligible (no longer a small business)

   6. Other (open text field)

   7. N/A

Section 7: Phase III

Section 7 Description: The following questions will assess your experience and knowledge with NASA SBIR/STTR Phase III process. This section is asking for your feedback to Phase III , regardless if it is associated with a SBIR or STTR award. Please provide responses based on your experiences in the last 3 years, unless otherwise noted.

1. Have you ever been awarded a NASA SBIR/STTR Phase III contract?

   1. Yes. (Question Logic: If yes – complete all question in this section)

   2. No. (Question Logic: If no – skip to question 10 than move to section 8)

1. In total, how many SBIR/STTR Phase III awards has your company or research institution received from NASA?

open text [whole number validation]

3. Has your company received a Phase III award from another government agency based on your NASA SBIR/STTR award?

Yes

No

I don’t know

4. Has your company received a NASA Phase III award based on a SBIR/STTR award from another government agency?

Yes

No

I don’t have an SBIR/STTR award from another government agency

I don’t know

5. How would you rate the contracting process associated with the NASA Phase III award?

   1. The process was very difficult

   2. The process was difficult

   3. The process was neither easy nor difficult

   4. The process was easy

   5. The process was very easy

   6. N/A

6. How would you rate the contract management process associated with executing the NASA Phase III work?

   1. The process was very difficult

   2. The process was difficult

   3. The process was neither easy nor difficult

   4. The process was easy

   5. The process was very easy

   6. N/A

7. How many Phase III awards has your company or research institution received total across all other government agencies?

open text [whole number validation]

Section 9: Demographic Information

Section 9 Description: The following questions will gather demographic information about the company you represent.

1. Do you work at a Research Institution?

   1. Yes, (Question Logic: If yes – continue to the RI demographic question section.

   2. No, (Question Logic: skip to small business demographics filter question)

Research Institution Demographic Questions

1. What is your title within the research institution?

Open Text Field [space limit of 50 characters]

2. In what state or U.S. Territory do you work?

Drop down list of states

3. How many STTR Phase I awards has your institution received total across all other government agencies?

open text [whole number validation]

4. How many STTR Phase II awards has your institution received total across all other government agencies?

open text [whole number validation]

5. How many STTR Post Phase II awards has your institution received total across all other government agencies?

open text [whole number validation]

6. My organizations minority serving institution category is:

1. Historically Black College and University (HBCU)

2. Tribal Colleges or Universities (TCU)

3. Asian American, Native America, Pacific Islander -Serving Institution (AANAPI-SI)

4. Alaska Native and Native Hawaiian – Serving Institution (ANNH-SI)

5. Hispanic-Serving Institution (HSI)

6. Native American Serving Non-Tribal Institution (NASNTI)

7. Predominantly Black Institutions (PBI)

8. N/A

Small Business Demo Filter Question:

2. Do you work at a Small Business?

   1. Yes, (Question Logic: If yes – move to SBC demographic question.

   2. No, (Question Logic: If no, go to last open ended organization question

Small Business Demographic Questions

1. What is your title within the company?

Open Text Field [space limit of 50 characters]

2. Number of employees in your company:

open text field [whole number validation]

3. Years incorporated

open text field [whole number validation]

4. In what state or U.S. Territory do you work?

Drop down list of states

5. How many SBIR Phase I awards has your company received total across all other government agencies?

open text [whole number validation]

6. How many SBIR Phase II awards has your company you received total across all other government agencies?

open text [whole number validation]

7. How many SBIR Post Phase II awards has your company you received total across all other government agencies?

open text [whole number validation]

8. How many STTR Phase I awards has your company received total across all other government agencies?

open text [whole number validation]

9. How many STTR Phase II awards has your company received total across all other government agencies?

open text [whole number validation]

10. How many STTR Post Phase II awards has your company received total across all other government agencies?

open text [whole number validation]

11. My company’s certified socio-economic category is (select all that apply):

1. Women-owned

2. Veteran-owned

3. HUB Zone-owned

4. Service-Disabled Veteran-owned

5. Minority-owned

6. N/A

Last open-ended organization questions (people should only see this if they answered no to both the research institution filter question and the small business filter question)

3. What type of organization do you represent?

Open Text Field

6. When will the activity happen?

Describe the time frame or number of events that will occur (e.g., We will conduct focus groups on May 13,14,15, We plan to conduct customer intercept interviews over the course of the Summer at the field offices identified in response to #2 based on scheduling logistics concluding by Sept. 10^th, or “This survey will remain on our website in alignment with the timing of the overall clearance.”)

The Program will send the survey email during approximately the first week of December 2020, and the survey will remain open through January 13, 2021. The Program may send reminder emails based on response rates.

7. Is an incentive (e.g., money or reimbursement of expenses, token of appreciation) provided to participants?

[ ] Yes [ X] No

If Yes, describe:

BURDEN HOURS

Category of Respondent	No. of Respondents	Participation Time	Burden Hours
EHB Proposal Creator	640	15 minutes	160
IOC Registrant	360	15 minutes	90
Totals	1,000	15 minutes	250

CERTIFICATION:

I certify the following to be true:

1. The collections are voluntary;

2. The collections are low-burden for respondents (based on considerations of total burden hours or burden-hours per respondent) and are low-cost for both the respondents and the Federal Government;

3. The collections are non-controversial and do not raise issues of concern to other Federal agencies;

4. Any collection is targeted to the solicitation of opinions from respondents who have experience with the program or may have experience with the program in the near future;

5. Personally identifiable information (PII) is collected only to the extent necessary and is not retained;

6. Information gathered is intended to be used for general service improvement and program management purposes

7. Upon agreement between OMB and the agency aggregated data may be released as part of A-11, Section 280 requirements only on performance.gov. Summaries of customer research and user testing activities may be included in public-facing customer journey maps.

8. Additional release of data will be coordinated with OMB.

Name: Eric Smith

All instruments used to collect information must include:

OMB Control No. 2700-0181

Expiration Date: 11/30/2023

23