1 Introduction
The SBIR Office within the Office of Science creates Commercialization Survey requests for SBIR/STTR institutions that have received project funding within a specified period of time. The surveys are intended to show the SBIR Office how the funds provided have resulted in commercialized products.
The purpose of this document is to provide step-by-step instructions for users to follow to complete a Commercialization Survey.
2 Prerequisites
Before a Commercialization Survey can be submitted, the following criteria must be met:
- A Commercialization Survey task has been created.
- PAMS sent an email to the SRO/BO/AO requesting completion of a Commercialization Survey.
3 Completing a Commercialization Survey
Use the following steps to complete and submit a Commercialization Survey.
3.1 Accessing a Commercialization Survey
Use the following steps to access the Commercialization Survey task.
3.1.1 Existing Account
Use the following steps to access the Commercialization Survey task if the SRO/BO/AO has a PAMS account.
1. PAMS will send an email notification to the SRO/BO/AO indicating that the task has been created (Figure 1).
Figure 1. PAMS Email Notifications – Existing SRO/BO/AO Commercialization Survey Task
2. On the Guide Me page, click the Tasks tab to go to the Pending Tasks – List page (Figure 2). OR From any PAMS page, click the Commercialization Survey link in the left navigation menu to go to the Commercialization Survey – List page (Figure 3).
Figure 2. Pending Tasks – List Page, Submit Commercialization Survey Task, Start Survey
3. From either List page, find the Submit Commercialization Survey task you want and click the Start Survey link (Figure 2, Figure 3). If necessary, click the Search link on the right above the grid to find a specific Commercialization Survey task to work on.
Figure 3. Commercialization Survey – List Page, Start Survey
3.1.2 No Existing Account
Use the following steps if the SRO/BO/AO does not have an existing PAMS account.
1. If the SRO/BO/AO does not have an account, PAMS will send an email notification to the SRO/BO/AO indicating that the task has been created, and provide a registration link and code (Figure 4). Click the I do not have a PAMS account link.
Figure 4. PAMS Email Notifications – SRO/BO/AO Does Not Have an Existing Account
2. Enter the registration code on the Verify Registration Code page, and click Verify (Figure 5).
Figure 5. Verify Registration Code Page
3. Complete the account creation process. (Step-by-step instructions for account creation can be found in the External User – Create Account training module.)
4. Begin at Step 2 in section 1.1 Existing Account to access the Commercialization Survey task after creating the account.
3.2 General Information Section
Use the following steps to complete the General Information section of the Commercialization Survey.
1. The Commercialization Survey – Status page displays the status of the General Information and Awards sections in both the left navigation menu and in the Commercialization Survey Status section of the page itself (Figure 6).
Figure 6. Commercialization Survey – Status Page, Commercialization Survey Status, Update
2. Click the Update link to navigate to the Commercialization Survey – General Information page.
Figure 7. Commercialization Survey – General Information Page
3. The first three fields under the Small Business Concern (SBC) Information section are prepopulated from the Institution Profile in PAMS (Figure 7).
4. Refer to the table below to complete the required fields on the rest of the Commercialization Survey – General Information page.
Required Fields
Element | Description |
Website | Enter the institution’s website URL. |
Year Founded | Enter the year (YYYY) the institution was founded. |
Number of Employees | Enter the number of employees at the institution. |
Have any patents or copyrights resulted from ANY SBIR/STTR funding to your SBC? | Select the Yes or No radio button. If Yes applies to either or both, enter the total number of patents or copyrights in the fields provided. |
Since receiving SBIR/STTR funding has your SBC completed an Initial Public Offering (IPO) that resulted, in part, of technology your SBC developed under the DOE SBIR/STTR Programs? | Select the Yes or No radio button. If Yes applies, enter the IPO year and estimated value. |
Has your SBC been acquired as a result of work conducted under DOE SBIR/STTR funding? | Select the Yes or No radio button. If Yes applies, enter the year the SBC was acquired and the dollar value of the acquisition. |
Has your SBC produced any spin-off companies? | Select the Yes or No radio button. If Yes applies, enter the year the spin-off was started and its name. |
SBC Total Federal SBIR/STTR Related Sales | Enter the appropriate dollar amount. |
SBC Total Federal SBIR/STTR Investment | Enter the appropriate dollar amount. |
5. When finished, click the Choose Action dropdown and select either Save, Save and Continue, or Mark as Complete. When you have made your selection, click the Go button to be taken to the Commercialization Survey – Awards page (Figure 8).
6. Click the Go to Previous Page button to return to the Commercialization Survey – Status page.
3.3 Awards Section
Use the following steps to complete the Awards section of the Commercialization Survey.
1. Clicking the Commercialization Survey Status Update link on the Commercialization Survey – Status page (Figure 6) takes you to the Commercialization Survey – Awards page (Figure 8).
Figure 8. Commercialization Survey – Awards Page, Edit, Continue, Mark as Complete
2. Click Edit in the Options column to go to the Commercialization Survey – Edit Award page.
Figure 9. Commercialization Survey – Edit Award Page
Required Fields
Element | Description |
Award/Project Short Description/Abstract | Project description |
Sales to Private Industry (SP) | This figure includes all small business sales to non-federal, state, and local government entities resulting in part or in full from the commercialization of the DOE SBIR/STTR‒funded technology. |
Sales to Federal Entity or Prime Contractor (SF) | This figure includes all small business sales of the DOE SBIR/STTR‒funded project technology to federal entities, including its prime contractors and national laboratories. |
Sales to Other (SO) | This figure includes all small business sales of the DOE SBIR/STTR‒funded project technology to non-federal entities, such as foreign, state, and/or local governments. |
Licensing Revenue | This figure includes all income earned by your small business for allowing its copyrighted or patented material developed in part or in full due to DOE SBIR/STTR funding to be used by another company or entity. |
Describe how this technology was commercialized and its effect on SBC | Describe the impact on your small business from the successful commercialization of the DOE SBIR/STTR funded technology. |
Has a product with this technology been launched? | Select the Yes or No radio button. |
SBC Self-Investment (IS) | This figure includes funds owned by the small business or one or more small business owners and invested back into the company. |
Investment from Non-SBIR Federal Entity or Prime Contractor (IF) | This figure includes funds provided by a federal program or entity primarily funded by the federal government with or without an interest in your company. |
Angel Investment (AI) | This figure includes funding from an individual, group, or network of like-minded individuals providing capital to your small business. This support may be in exchange for ownership equity for your small business. |
Venture Capital Investment (VC) | This figure includes funding from an investment group providing capital to your small business, usually in exchange for ownership equity or control in your company. |
Other Investment (OI) | This figure includes funds provided by none of the preceding investors that may or may not have a controlling interest in your small business; e.g., gifts or loans from family and friends. |
3. Update the award information as needed.
4. When you are finished, click the Choose Action dropdown and select the Mark as Complete
5. Click the Go A Success message informs you that the Edit Award page was successfully marked as complete.
6. Repeat Steps 1‒6 for any other awards that do not have a status of “Complete”.
7. Once all the awards on the Commercialization Survey – Awards page are complete, select Mark as Complete from the dropdown and click Go.
3.4 Editing an In Progress Commercialization Survey
Use the following steps to edit a Commercialization Survey that has already been started.
1. Once a Commercialization Survey has been started, you have the ability to save it and return to it at a later time. Navigate to the Pending Tasks – List page from the Tasks tab to access an incomplete Commercialization Survey (Figure 10).
2. Find the Submit Commercialization Survey task, and click Edit Survey in the Options column.
Figure 10. Pending Tasks – List Page
3. Follow the steps for completing a Commercialization Survey (Sections 3.1-3.3).
3.5 Submitting a Commercialization Survey
Use the following steps to submit a completed Commercialization Survey to DOE.
1. Once all of the sections are marked as complete, click Submit in the bottom right corner (Figure 11).
Figure 11. Commercialization Survey – Submit Page
2. You will receive a Success message indicating that your submission was successful.
