CAUSEE Questionnaire Wave 1 Contents - QUT ePrints · CAUSEE – Questionnaire – Wave 1 Contents...

Australian Centre for Entrepreneurship Research www.bus.qut.edu.au/research/ace/

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CAUSEE – Questionnaire – Wave 1

Contents

A. CAUSEE Pilot Screener And Transfer To Long Interviews ...................................................... 2

B. Individual Demographic Background ........................................................................................ 7

C. Continue Full Interview or Make An Appointment..................................................................... 9

D. Following Up Appointment Introduction (SECTION NE-A / YF-A) .......................................... 12

E. Classifying The Venture (SECTION NE-B/YF-B).................................................................... 13

1. Activities – Young Firms ........................................................................................................ 19

1. Gestation Activities 1 – Nascent Entrepreneur ....................................................................... 23

2. BUSINESS IDEA NEWNESS – Nascent Entrepreneur/Young Firm ....................................... 29

3. BUSINESS IDEA RELATEDNESS – Nascent Entrepreneur .................................................. 33

4. Business Idea Change – Nascent Entrepreneur ..................................................................... 35

5. Gestation Activities 2 – Nascent Entrepreneur ....................................................................... 37

6. Effectuation – NE and YF ....................................................................................................... 45

7. Team Resources – Nascent Entrepreneur/Young Firms ........................................................ 47

8. Resources Advantages – Nascent Entrepreneur & Young Firm ............................................. 55

9a. Sources Of Funding – Nascent Entrepreneur ....................................................................... 58

9b. Sources Of Funding – Young Firms ...................................................................................... 59

10. Internationalisation – Nascent Entrepreneurs & Young Firms .............................................. 60

11. Bricolage – Nascent Entrepreneur & Young Firms ............................................................... 63

12. FUTURE EXPECTATIONS – Nascent Entrepreneur & Young Firm ..................................... 64

13. Wrap Up! – Nascent Entrepreneur & Young Firm ................................................................. 67


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CAUSEE Questionnaire

Time Started:_____________

Time Finished: _____ _

Interview Duration: _____ _ Respondent’s Name:

Respondent’s Phone No:

Interviewer: Date:

Employment No: Supervisor Checked:

Coders Use Only:

Coder: ______________________________

Interview Quality Code: 01 02 03 04 05 06 07 08 09 10

A. CAUSEE Pilot Screener And Transfer To Long Interviews

Good morning/afternoon/evening, my name is <INSERT NAME> from Queensland University of Technology. We are conducting academic research about business start-ups and small businesses and are interested in people’s views, whether they have a small business or not. In most cases the interview will take only a minute or two. May I speak to someone 18 years or older, living in this household? REINTRODUCE IF NECESSARY Before we start I need to let you know that all information collected in this survey is strictly confidential. SA Can I confirm that you are 18 years or older and live in this household? (Q51)

1 Yes CONTINUE

2 No ASK TO SPEAK TO ANOTHER PERSON

SB Record Gender (CHECK QUOTA APPLICABILITY WITH CLIENT) (Q52)

1 Male CHECK QUOTAS (50/50 MALE/FEMALE) 2 Female

SC1A I'd like to ask you a few questions for screening purposes. (Q53) Are you, alone or with others, currently trying to start a new business, including any self-employment or

selling any goods or services to others?

1 Yes NEW BUSINESS OWNER

2 No

98 DO NOT READ OUT Don’t know

99 DO NOT READ OUT Refused PROBE: Can I ask why?


3

SC1B Are you, alone or with others, currently trying to start a new business or a new venture for your employer, (Q54) an effort that is part of your normal work?

1 Yes NEW BUSINESS EMPLOYEE

2 No



SC1C Are you, alone or with others currently the owner of a business you help manage, including self- (Q55) employment or selling any goods or services to others?

1 Yes ESTABLISHED BUSINESS

2 No



IF ‘NO’ TO ALL OF SC1A, SC1B & SC1C GO TO SC12 (CASE IS CONFIRMED NON-ELIGIBLE GO TO SC12) IF SC1A IS NO & SC1B IS NO & SC1C IS DK/REFUSED GO TO SC8 IF SC1A IS NO & SC1B IS NO & SC1C IS YES GO TO SC8 ASK IF SC1C IS ‘YES’ AND AT LEAST ONE OF SC1A OR SC1B IS YES (CASES INDICATING MULTIPLE INVOLVEMENT). OTHERS GO TO SC4 SC2 You indicated you are both owning a business and trying to start one. Does that mean you are involved in (Q56) more than one business, or is it just one business that is in an early stage of development?

1 One business in early stage of development GO TO SC4 WORDING VARIETY - 2

2 More than one business

READ IF ‘MORE THAN 1 BUSINESS’ AT SC2 (CASES WITH CONFIRMED MULTIPLE INVOLVEMENT) SC3 The focus of this interview is the most recent business start-up you are involved in that is not yet up and

running, and where you will be an owner or part-owner of the business. Please answer the following questions with respect to that start-up.

GO TO SC4 - WORDING VARIETY 1

IF SC1A IS ‘YES’ AND/OR SC1B IS ‘YES’ (CASES CLEARLY INDICATING NASCENT ENTREPENEURSHIP) SC4i WORDING VARIETY 1 (Q59A) You mentioned that you were trying to start a new business. Over the past twelve months, have you done

anything to help start a new business, such as looking for equipment or a location, organizing a start-up team, working on a business plan, beginning to save money, or any other activity that would help launch a business? DO NOT READ. SINGLE RESPONSE. INTERVIEWER NOTE: IF THERE IS MORE THAN ONE ON-GOING START-UP; SELECT THE ONE THE RESPONDENT CONSIDERS MOST LIKELY TO BECOME OPERATIONAL AND IN WHICH HE/SHE IS GOING TO BE AN OWNER.

1 Yes GO TO SC5

2 No GO TO SC8

98 DO NOT READ OUT Don’t know GO TO SC5

99 DO NOT READ OUT Refused GO TO SC5


4

IF ((SC1A=98 OR 99) AND (SC1B = 2 OR 98 OR 99)) OR ((SC1A=2) AND (SC1B = 98 OR 99)), OR IF SC2 = 1, OR SC2 =2 AND SC3 HAS BEEN READ REFERRALS BACK FROM SC8 SC4ii WORDING VARIETY 2 (Q59B) So we can be certain that we understand your circumstances, over the past twelve months, have you

done anything to help start a new business, such as looking for equipment or a location, organizing a start-up team, working on a business plan, beginning to save money, or any other activity that would help launch a business? DO NOT READ. SINGLE RESPONSE. INTERVIEWER NOTE: IF THERE IS MORE THAN ONE ON-GOING START-UP; SELECT THE ONE THE RESPONDENT CONSIDERS MOST LIKELY TO BECOME OPERATIONAL AND IN WHICH HE/SHE IS GOING TO BE AN OWNER.

1 Yes

2 No


99 DO NOT READ OUT Refused

IF ((‘NO’ AT SC4 AND SC1C IS ‘YES’) GO TO SC8). OTHERWISE IF ‘NO’ AT SC4 GO TO SC12 (CASE IS CONFIRMED NON-ELIGIBLE GO TO SC12) ALL OTHERS GO TO SC5 SC5 Will you personally own all, part, or none of this business? ? DO NOT READ. SINGLE RESPONSE (Q60)

INTERVIEWER NOTE: IF THERE IS MORE THAN ONE ON-GOING START-UP; SELECT THE ONE THE RESPONDENT CONSIDERS MOST LIKELY TO BECOME OPERATIONAL AND IN WHICH RESPONDENT IS GOING TO BE AN OWNER.

1 All CONTINUE

2 Part

3 None

GO TO SC12 (NON-ELEIGIBLE) 98 DO NOT READ OUT Don’t know


SC6 Has this business received any sales revenue, income, or fees for more than six of the past twelve

months? (Q61) DO NOT READ. SINGLE RESPONSE

1 Yes

2 No CONFIRMED NASCENT GO TO SC10



SC7 Has your monthly revenue been more than monthly expenses for more than six of the past twelve

months? (Q62) DO NOT READ. SINGLE RESPONSE

1 Yes, revenue greater than expenses CONTINUE

2 No, expenses greater than revenue CONFIRMED NASCENT GO TO SC10 98 DO NOT READ OUT Don’t know

99 DO NOT READ OUT Refused CONTINUE


5

ASK IF (SC1A IS ‘NO’ AND SC1B IS ‘NO’ AND SC1C IS ‘YES’), OR ASK IF (SC1A IS ‘NO’ AND SC1B IS ‘NO’ AND SC1C IS ‘DK/REFUSED’), OR IF SC4i (WORDING VARIETY 1) IS ‘NO’, OR IF SC7 IS’YES’ IF HAVE ALREADY ASKED SC8 CODE AS 77 SC8 Based upon your responses you may be self-employed or an owner-manager of a business that is already (Q63) in operation. As we define it, a business is operating if it has experienced any 12-month period where

revenues were greater than all costs at least half the time. Is this correct in your case? DO NOT READ. SINGLE RESPONSE

1 Yes CONTINUE

2 No GO BACK TO SC4ii (WORDING V2)

77 In loop TERMINATE IF SC1A = 1, OTHERWISE CONTINUE

98 DO NOT READ OUT Don’t know GO BACK TO SC4ii (WORDING V2)

99 DO NOT READ OUT Refused GO TO SC12 (NON-ELIGIBLE)

ASK IF SC8 IS ‘YES’ OR ‘IN LOOP’ SC9 In what year did this business or self-employment start, that is, when did you first start trading in the (Q2005) market doing the type of business you are currently doing?

Don’t know

RECORD YEAR

IF 2004 OR LATER THAN CONFIRMED YOUNG FIRM GO TO SC12

98 Don’t Know IF 2003 OR EARLIER OR DON’T KNOW GO TO SC12 (NON-ELEIGIBLE)

99 Other unsolved problem

TERMINATE

ASK ALL SC10 Would you describe this new business as ……..? READ OUT CODES 1-5. (Q119)

1 An independent new business created by an individual or a team working on their own

GO TO ID1 (demographic section)

2 A purchase or take-over of existing business GO TO SC11A

3 A franchise GO TO ID1 (demographic section)

4 A multi-level marketing initiative INTERVIEWER NOTE: ‘multi-level marketing initiative’ is also known as ‘pyramid business’

GO TO ID1 (demographic section)

5 A new business sponsored by an existing business

GO TO SC11B

7 Something else GO TO ID1 (demographic section)

ASK IF SC10 = 2 SC11a NASCENT TEXT: So, this being a purchase or take-over of an existing business means that running this (Q120) business is new for you, but the business itself is not in a start-up stage – is that correct? YOUNG FIRM TEXT: So, this being a purchase or take-over of an existing business means that running

this business is new for you, but the business itself existed before the year 2004 – is that correct?

1 Yes TERMINATE

2 No GO TO ID1 (demographic section)


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ASK IF SC10 = 5 SC11b NASCENT TEXT: Although this start-up is sponsored by an existing business, can you confirm that you (Q124) are or are going to be one of the owners of the new business? YOUNG FIRM TEXT: Although this start-up is sponsored by an existing business, can you confirm that

you are one of the owners of the business?

1 Yes GO TO ID1 (demographic section)

2 No TERMINATE

ASK ALL CONFIRMED NON-ELIGIBLE CASES SC12 GENERATE RANDOM NUMBER (Q66)

1 N<50 TERMINATE

2 N=50 QUALIFY AS CONTROL GO TO ID1 (demographic section)


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B. Individual Demographic Background We are now going to ask you some demographic questions. As previously guaranteed, this information will be kept completely confidential. ASK ALL ID1 Can I have your name, please? (Q74)

INTERVIEWER PROMPT: We are recording names for recontact purposes only.

RECORD NAME: ........................................................... (Name will be inserted into full interviews) 99 - REFUSE

ID2 And in what year were you born? (Q2006)

RECORD YEAR

ID3 GENDER RECORDED AT SB ID4 Which of the following best describes your current employment status? READ OUT (Q76)

1 Employed

2 Self-employed

3 Homemaker

4 Retired

5 Student

6 Unemployed


ID5 Which of the following best describes the highest level of education you have completed? READ OUT (Q77)

5 High school – Yr 10

6 High school – Yr 12

2 Diploma (TAFE etc)

3 Bachelors degree

4 Higher Uni degree [e.g. Masters, Doctorate]

8 None of these DO NOT READ


ID6 Do you or anyone in your household own the house you live in? (Q78)

1 Yes

2 No


ID7 Apart from the house you live in, do you own any investment properties? (Q79)

1 Yes

2 No



8

ID8 Were you born in Australia? (Q80)

1 Yes

2 No


ID9 Which of the following best describes your ethnic background? READ OUT CODES 1-6 (Q81)

1 Indigenous Australian

2 European

3 Asian

4 Middle Eastern

5 Something else

6 Mixed ethnicity


ID10 Was your father born in Australia? (Q82)

1 Yes

2 No


ID11 Was your mother born in Australia? (Q83)

1 Yes

2 No


ID12 Did your parents ever work for themselves or run their own business, alone or together? (Q84)

1 Yes

2 No


IF CASE IS CONFIRMED NASCENT (CODE 2 AT SC6 OR CODE 2/98/99 AT SC7) GO TO TNE1

IF CASE IS CONFIRMED YOUNG FIRM (2004 OR LATER AT SC9) GO TO TYF1

IF CASE IS CONTROL (COFIRMED NON-ELIGIBLE) TERMINATE


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C. Continue Full Interview or Make An Appointment ASK QUALIFIED NASCENT ENTREPRENEURS TNE1 v1 What kind of business are you starting? (Q100)

Interviewer note: nothing need be recorded here – question is asked to lure respondent into talking about their passion for the planned business venture. PROBE: Can you briefly tell me a little more about the product or service you intend to provide? Interviewer prompt: Just a few sentences to give me an idea. Interviewer note: no recording of response required.

Your responses indicate you are involved in a business start-up and we’d love to interview you further to find out more about what you’re doing. In testing, most respondents found our survey both interesting and helpful, as it alerted them to critical success factors they may have overlooked. You will also be helping us discover what works and what doesn’t work for new Australian businesses, and ultimately improve conditions for business start-ups. As a direct incentive, you will be entered into a cash draw of $5,000 and given access to our website containing valuable tools and information for small businesses and a forum to talk with other business owners. Do you have some more time now?

1 Yes GO TO CLASSIFYING THE VENTURE, SKIP RE-INTRODUCTION, BUT READ NE: “Great, this will take approximately 50 minutes of your time”

2 No

CONTINUE 98 Don’t know

99 Refused

ASK QUALIFIED YOUNG FIRMS TYF1 v1 What kind of business are you starting? (Q100)

Interviewer note: nothing need be recorded here – question is asked to lure respondent into talking about their passion for the planned business venture. PROBE: Can you briefly tell me a little more about the product or service you provide? Interviewer prompt: Just a few sentences to give me an idea. Interviewer note: no recording of response required.

Your responses indicate you are involved in a business start-up and we’d love to interview you further to find out more about what you’re doing. In testing, most respondents found our survey both interesting and helpful, as it alerted them to critical success factors they may have overlooked. You will also be helping us discover what works and what doesn’t work for new Australian businesses, and ultimately improve conditions for business start-ups. As a direct incentive, you will be entered into a cash draw of $5,000 and given access to our website containing valuable tools and information for small businesses and a forum to talk with other business owners. Do you have some more time now?

1 Yes GO TO CLASSIFYING THE VENTURE, SKIP RE-INTRODUCTION, BUT READ NE: “Great, this will take approximately 40 minutes of your time”

2 No


99 Refused


10

ASK QUALIFIED NASCENT ENTREPRENEURS TNE1 v2 What kind of business are you starting? (Q100)


Your responses indicate you are involved in a business start-up and we’d love to interview you further to find out more about what you’re doing. In testing, most respondents found our survey both interesting and helpful, as it alerted them to critical success factors they may have overlooked. You will also be helping us discover what works and what doesn’t work for new Australian businesses, and ultimately improve conditions for business start-ups. As a direct incentive, you will be entered into a cash draw of $5,000 and given access to our website containing valuable tools and information for small businesses and a forum to talk with other business owners. The interview will take approximately 50 minutes to complete. Do you have some more time now?

1 Yes GO TO CLASSIFYING THE VENTURE, SKIP RE-INTRODUCTION

2 No


99 Refused

ASK QUALIFIED YOUNG FIRMS TYF1 v2 What kind of business are you starting? (Q100)


Your responses indicate you are involved in a business start-up and we’d love to interview you further to find out more about what you’re doing. In testing, most respondents found our survey both interesting and helpful, as it alerted them to critical success factors they may have overlooked. You will also be helping us discover what works and what doesn’t work for new Australian businesses, and ultimately improve conditions for business start-ups. As a direct incentive, you will be entered into a cash draw of $5,000 and given access to our website containing valuable tools and information for small businesses and a forum to talk with other business owners. The interview will take approximately 40 minutes to complete. Do you have some more time now?

1 Yes GO TO CLASSIFYING THE VENTURE, SKIP RE-INTRODUCTION

2 No


99 Refused


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TNE2/ TYF2 The information we collect will be treated confidentially without any identification of you or your business (Q102) and only used for university research purposes.

Given this confidentiality guarantee, would you be willing to participate in this study, and be interviewed from insert appropriate date?

1 Can continue now GO TO CLASSIFYING THE VENTURE, SKIP RE-INTRODUCTION

2 Schedule another time CONTINUE

98 Don’t know

99 Refused GO TO TNE4/TYF4

ASK IF T2 = 98 or 99. TNE4 /TYF4 Can I ask why you’re not interested in participating? Most people do find it somewhat useful and

interesting. (Q104)

1 Cooking Dinner Sorry for interrupting you. Could we call back at a more convenient time? RECORD APPOINTMENT DAY/TIME & CLOSE INTERVIEW: __________________________________________________ Great - we look forward to speaking with you then. QUT and I thank you very much for your participation.

2 Watching TV Sorry for interrupting you. Could we call back at a more convenient time? RECORD APPOINTMENT DAY/TIME & CLOSE INTERVIEW: __________________________________________________ Great - we look forward to speaking with you then. QUT and I thank you very much for your participation.

3 Busy with family commitments / kids

We understand that you are busy and find it difficult to fit this in. We can be very flexible. We are happy to break up the survey into manageable “bite sizes” based on the time you have. It can be done at any convenient time for you e.g. during travel to work or in the evening. How could we organise the survey so that you can answer it the best way for you? In 20 min chunks? Evening? Morning? RECORD APPOINTMENT DAY/TIME & CLOSE INTERVIEW: __________________________________________________ Great - we look forward to speaking with you then. QUT and I thank you very much for your participation.

4 Concerned about confidentiality

Please understand that the information we collect will be treated confidentially without any identification of you or your business. It’s only only used for university research purposes. Would you like to have a look at the web site providing information about the survey? RECORD APPOINTMENT DAY/TIME & CLOSE INTERVIEW: __________________________________________________ Great - we look forward to speaking with you then. QUT and I thank you very much for your participation.

5 Generally Busy Sorry for interrupting you. Could we call back at a more convenient time? RECORD APPOINTMENT DAY/TIME & CLOSE INTERVIEW: __________________________________________________ Great - we look forward to speaking with you then. QUT and I thank you very much for your participation.

6 Other (specify) TERMINATE

9 Refused


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D. Following Up Appointment Introduction (SECTION NE-A / YF-A) USE DIFFERENT WORDING DEPENDING ON RESPONDENT CATEGORY (NE or YF) QA0a Good morning/afternoon/evening, my name is <INSERT NAME> from Queensland University of (Q108) Technology. May I speak to <ENTER CONTACTS NAME>. REINTRODUCE AS NECESSARY.

WORDING IF NASCENT ENTREPENUER Recently you agreed to be part of Queensland University of Technology’s study of new business start-ups and an appointment was made. If you are available we’d like to conduct the interview now. The interview will take approximately 50 minutes to complete. WORDING IF YOUNG FIRM: Recently you agreed to be part of Queensland University of Technology’s study of new business start-ups and an appointment was made. If you are available we’d like to conduct the interview now. The interview will take approximately 40 minutes to complete. INTERVIEWER NOTE: IF THE RESPONDENT TRIES TO BACK OUT ALTOGETHER TRY TO REGAIN COMMINTMENT WITH THE FOLLOWING POINTS: Just as a reminder, to reward your participation we also offer two incentives: a draw for a cash prize of $5,000 and membership of an on-line community of people who are starting businesses. This site will put you in contact with others in the same situation and provide access to a range of useful resources. Many people find it very interesting and even helpful to talk about their business with us, as it alerted them to critical success factors they may have overlooked. By participating you could also help us design better policies, education and assistance services for business start-ups.

1 Can continue now CONTINUE

2 Schedule another time RESCHEDULE

QA0b WORDING IF NASCENT ENTREPENUER: (Q111) Before we begin, I’d like to confirm that in the past twelve months you have taken actions to help start a

new business that you will own all or part of. Is this correct? WORDING IF YOUNG FIRM

Before we begin, I'd like to confirm that you are the owner or part-time owner of a business started in 2002 or later, and which you help manage. Is this correct?

1 Yes GO TO SECTION B

2 No

QA0c WORDING IF NASCENT ENTREPENUER: (Q112) Was there an error in our records or have you changed your mind about starting the new business?

1 Error TERMINATE

2 Changed mind

3 Will be starting and managing own business GO TO SECTION B

WORDING IF YOUNG FIRM: Was there an error in our records or have your circumstances changed since you agreed to this interview?

1 Error TERMINATE

2 Circumstances changed

3 Does own and manage an eligible business GO TO SECTION B


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E. Classifying The Venture (SECTION NE-B/YF-B)

IDENTIFY WHETHER NASCENT ENTREPENEUR OR YOUNG FIRM ASK ALL READ: Before we begin, I would like to assure you that the interview is confidential and completely voluntary. If

we should come to any question that you don't want to answer, just let me know and we'll go on to the next question. The survey contains questions regarding your new business.

QB1a TEXT IF NASCENT ENTREPENEUR: What kind of business are you starting? PROBE: Could you tell me (Q115) a little more about the product or service you intend to provide? TEXT IF YOUNG FIRM: What kind of business is this new business that you are running? PROBE:

Could you tell me a little more about the product or service you provide?

RECORD VERBATIM; :

QB1b The first set of questions aim to better understand what kind of business this is or is becoming. Firstly, at (Q116) what is the business’s name?

INTERVIEWER NOTE: IF UNWILLING TO GIVE THE BUSINESS NAME ASK: What name can we use to refer to this new business in this interview

RECORD BUSINESS NAME:

YOUNG FIRMS GO TO QB2 QB1c Has this name been registered with a government agency? (e.g. Australian Tax Office, Government (Q117) Business Name Registry)

1 Yes

2 No Go TO B2

QB1d To the best of your knowledge, in what month and year was the business name formally registered? (Q412/ Q413)

RECORD MONTH & YEAR:

ASK ALL QB4 NASCENT TEXT: What industry is this business going to be in? SINGLE RESPONSE (Q127) YOUNG FIRM TEXT: What industry is this business in? SINGLE RESPONSE

INTERVIEWER NOTE: READ OUT LIST IF RESPONDENT UNCLEAR.

1 Retailing

2 Hospitality (Restaurant, hotel/accommodation, bar or nightclub

3 Customer of consumer service

4 Health, education or social services

5 Manufacturing

6 Construction

7 Agriculture

8 Mining

9 Wholesale

10 Transportation

11 Utilities


14

12 Communications

13 Finance

14 Insurance

15 Real Estate

16 Business consulting or service

17 Other

QB5 NASCENT TEXT: So, would you say this new business will mainly sell products or mainly sell services? (Q128) YOUNG FIRM TEXT: So, would you say this business mainly sells products or mainly sells services?

INTERVIEWER NOTE: TRY TO AVOID ANSWERS ‘BOTH’; ‘DON’T KNOW’ OR ‘REFUSED’

1 Mainly products CLASSIFY: PRODUCTS

2 Mainly services CLASSIFY: SERVICES

3 Both equally CLASSIFY: PRODUCTS

4 Don’t know CLASSIFY: PRODUCTS

5 Refused CLASSIFY: PRODUCTS

QB6 NASCENT TEXT: What proportion of your sales, if any, do you expect to be on-line, that is, via the (Q129) Internet? Would it be closer to ………. READ OUT CODES?

YOUNG FIRM TEXT: What proportion of your sales, if any, is generated on-line, that is, via the Internet? Would it be closer to ………. READ OUT CODES?

1 0%

2 25%

3 50%

4 75%

5 100%

QB7ai NASCENT TEXT: How would you describe the location where this new business is being developed? (Q130) Would you say it is a residence or personal property, at the site of an existing business, or do you have a

separate location for this new business, or would you say the business is not developed to the point where a specific location is needed?

1 Residence or personal property

2 Site of an existing business

3 Separate location for start-up

4 Specific location not yet needed GO TO B8A

7 Something else

QB7aii YOUNG FIRM TEXT: How would you describe the location of this business? Would you say it is a

residence or personal property, at the site of an existing business, or do you have a separate location for this business, like rented space, a business incubator, or something like that?

1 Residence or personal property

2 Site of an existing business

3 Separate location for start-up

7 Something else

YOUNG FIRMS GO TO QB8A QB7b To the best of your knowledge, in what month and year was any physical space first used for the new (Q414/ business? Q415)

RECORD MONTH & YEAR: mm/yyyy


15

ASK ALL QB8a NASCENT TEXT: What is the current legal form of this new business, would you say..? READ CODES 1-

4 (Q132) YOUNG FIRM TEXT: What is the current legal form of this business, would you say..? READ CODES 1-3

1 A Sole trader

2 A Partnership

3 A Limited Liability Company [Ltd. or Pty Ltd.]

4 NASCENT ONLY Legal form not been determined yet

GO TO B9

7 Something else (DO NOT READ)

ASK NASCENT ENTREPENEUR ONLY, YOUNG FIRMS GO TO QB8C QB8b Has this been formally established by registering with the appropriate government agency? (Q133)

1 Yes

2 No, not yet GO TO B9

ASK ALL QB8c To the best of your knowledge, in what month and year was it registered? (Q416/ Q417)


QB9 NASCENT TEXT: As you know, the creation of a new business often involves contributions of many (Q135) individuals. Will the new business be owned only by yourself, only by yourself and your spouse/de facto,

or by yourself and some other people or businesses? YOUNG FIRM TEXT: As you know, the creation of a business often involves contributions of many individuals. Is this business owned only by yourself, only by yourself and your spouse/de facto, or by yourself and some other people or businesses?

1 Self only GO TO B14 CLASSIFY ‘SOLO’

2 Self and spouse/de facto only GO TO B11 CLASSIFY ‘PARTNER’

3 Self and others

QB10 NASCENT TEXT: How many owners in total do you expect this new business to have? (Q136) YOUNG FIRM TEXT: How many owners in total does the business have?

RECORD NUMBER OF OWNERS:

IF n=2 CLASSIFY AS ‘PARTNER’

IF n>2’CLASSIFY AS ‘TEAM’

99 Don’t know CLASSIFY AS ‘TEAM’

ASK ALL ‘PARTNER’ AND ‘TEAM’ OTHERS GO TO QB14 QB11 NASCENT TEXT: To the best of your knowledge, how large is, or will be, your share of ownership in this (Q138) business? YOUNG FIRM TEXT: How large is your share of ownership in this business?

INTERVIEWER PROMPT: Please answer as a percentage.

RECORD %:


16

QB12a PARTNER TEXT: Which of the owners would be considered in charge of day to day operations of the (Q139) business – you or your partner? ‘TEAM’ TEXT: Which of the owners would be considered in charge of day to day operations of the

business – you or one of the other owners?

1 Me

2 Partner / Other Owner

3 Both equally/Respondent and other owner(s) equally

4 Other non-owner

ASK IF QB12A IS CODE 1 (‘ME’) OR CODE 4 (‘OTHER NON-OWNER’) QB12b PARTNER TEXT: Does your partner have an active role in the business at all, either by participating in (Q140) making decisions for the business or doing some kind of work for it? ‘TEAM’ TEXT: How many of the other owners have an active role in the business at all, either by

participating in making decisions for the business or doing some kind of work for it?

1 Partner has no active role/ No other owners have active role in business

2 Partner has active role/ One other owner has active role in business

3 More than one owner has an active role in the business

IF NUMBER OF ACTIVE OTHER OWNERS >1 RECORD NUMBER OF OWNERS GIVEN

QB13 PARTNER TEXT: Was it you or your partner who first came up with the idea for this business? (Q141) ‘TEAM’ TEXT: Was it you or another team member who first came up with the idea for this business?

1 Me

2 Partner/Another team member

3 Both / Two or more owners jointly / Impossible to say

ASK ALL ‘SOLO’ ASK ‘PARTNER’ & ‘TEAM’ IF QB13 IS CODE 1 OR CODE 3 QB14i Which came first for you, the business idea or your decision to start a business -- or did they occur (Q143) together?

1 Business Idea

2 Decision to start a business

3 Both together

9 Don’t know

ASK ‘PARTNER’ & ‘TEAM’ IF QB13 IS CODE 2 QB14ii Which came first for the person behind the idea for the business; was it the business idea or your decision

to start a business -- or did they occur together?

1 Business Idea

2 Decision to start a business

3 Both together

9 Don’t know

YOUNG FIRMS’ GO TO QB16 ASK ALL ‘SOLO’ ASK ‘PARTNER’ & ‘TEAM’ IF QB13 IS CODE 1 OR CODE 3 QB15i To the best of your knowledge, in what month and year did you first think about starting this business? (Q418/ Q419)



17

ASK ‘PARTNER’ & ‘TEAM’ IF QB13 IS CODE 2 QB15ii Can you say roughly in what month and year did the person behind the idea first think about starting this

business? INTERVIEWER NOTE: ENTER 99/9999 IF RESPONDENT DOES NOT KNOW


ASK ALL QB16 SOLO TEXT: What is truer for you: Are you involved in this business to take advantage of a business (Q145) opportunity or because you have no better choices for work? PARTNER TEXT: What is truer for you and your partner: Are you involved in this business to take

advantage of a business opportunity or because you have no better choices for work? TEAM TEXT: What is truer for your start-up team: Are you involved in this business to take advantage of a

business opportunity or because you have no better choices for work?

1 Take advantage of an opportunity

2 No better choice

3 Combination of both

9 Have job but seek better employment

QB17 SOLO TEXT: Which of the following two statements best describes your preference for the future size of (Q146) this business: I want this new business to be as large as possible, or I want a size I can manage myself or

with a few key employees? PARTNER TEXT: Which of the following two statements best describes you and your partners preference

for the future size of this business: We want this new business to be as large as possible, or We want a size we can manage ourselves or with a few key employees?

TEAM TEXT: Which of the following two statements best describes the preference your start-up team has for the future size of this business: We want this new business to be as large as possible, or we want a size we can manage ourselves or with a few key employees?

1 I/We want this new business to be as large as possible

2 I/We want a size I/we can manage myself/ourselves or with a few key employees

3 PARTNERS & TEAM ONLY This is a point where the partners/team members have different views

YOUNG FIRMS’ GO TO QB19A QB18 ‘PRODUCT’ TEXT (QB5 – CODE 1,3,4,5): Were the technologies or procedures required for your main (Q148) product generally available more than a year ago? ‘SERVICE’ TEXT (QB5 – CODE 2): Were the technologies or procedures required for your main service

generally available more than a year ago?

1 Yes

2 No

QB19a ‘PRODUCT’ TEXT (QB5 – CODE 1,3,4,5): Were the technologies or procedures required for your main (Q149) product generally available more than five years ago? ‘SERVICE’ TEXT (QB5 – CODE 2): Were the technologies or procedures required for your main service

generally available more than five years ago?

1 Yes

2 No


18

NASCENT ENTREPENEURS GO TO QB20 QB19b ‘PRODUCT’ TEXT (QB5 – CODE 1,3,4,5): Were the technologies or procedures required for your main (Q150) product generally available more than ten years ago? ‘SERVICE’ TEXT (QB5 – CODE 2): Were the technologies or procedures required for your main service

generally available more than ten years ago?

1 Yes

2 No

QB20 NASCENT TEXT: Will spending on research and development be a major priority for this business? (Q151) YOUNG FIRM TEXT: Is spending on research and development a major priority for this business?

1 Yes

2 No

QB21 Would you consider this business to be hi-tech? (Q152)

Interviewer note: hi-tech left to respondent interpretation

1 Yes

2 No

CONTINUE TO NEXT SECTION


19

1. Activities – Young Firms SOLO READ: In this section I will ask about a number of things you may or may not have done or attained in establishing your new business. PARTNER READ: In this section I will ask about a number of things you and your partner may or may not have done or attained in establishing your new business. TEAM READ: In this section I will ask about a number of things you or other owners may or may not have done or attained in establishing your new business Q1 A business plan usually outlines the markets to be served, the products or services to be provided, the (Q155) resources required –- including money –- and the expected growth and profit for the new business. Have

you ever prepared a business plan for this business, will you prepare one in the future, or is a business plan not relevant for this business?

1 Yes

2 No, not yet – will in future

3 No, Not relevant

ASK IF CODE 1 AT Q1 Q2. What is the current form of your business plan -– is it unwritten or in your head, informally written, or (Q156) formally prepared?

1 Unwritten – in head

2 Informally written

3 Formally prepared

ASK IF CODE 2 OR 3 AT Q2. Q4b Has the business plan been revised since the first version was completed? (Q160)

1 Yes

2 No

ASK IF CODE 2 OR 3 AT Q2. Q4d I want you to answer the following on a scale from 1 to 5, where “1” means “not important at all” and “5” (Q163) means “very important”. So far, how important or unimportant has your business plan been for the

following uses? READ OUT.

Not important

at all

(rather unimportant)

(slightly important)

(important) Very important

(a) As an action plan that you follow step by step?

1 2 3 4 5

(b) As a means to try to obtain external finance or other benefits from others?

1 2 3 4 5

(c) As a means of thinking things through in order to seize opportunities or avoid mistakes?

1 2 3 4 5

(d) As a tool for communicating strategic action within the business

1 2 3 4 5


20

ASK ALL (i.e., even if Q1 = 3). READ FIRST PART ONLY IF NOT ALREADY INTRODUCED TO SCALE AT Q4. Q4e I want you to answer the following on a scale from 1 to 5, where “1” means “not important at all” and “5” (Q165) means “very important”. In the next 12 months, how important or unimportant do you expect a written

business plan will be for the following uses? READ OUT.

Not important at all




(a) As an action plan that you follow step by step?

1 2 3 4 5

(b) As a means to try to obtain external finance or other benefits from others?

1 2 3 4 5

(c) As a means of thinking things through in order to seize opportunities or avoid mistakes?

1 2 3 4 5

(d) As a tool for communicating strategic action within the business

1 2 3 4 5

Q5b IF ‘PRODUCT’: Have you developed your main product yourselves or are you re-selling products that

have (Q168) been developed elsewhere?

IF ‘SERVICE’: Have you developed your main service concept yourselves or are you applying a service concept that was developed elsewhere, for example by a franchisor or licensor?

1 Developed themselves

2 Developed elsewhere

Q10 Has this new business developed any proprietary technology, processes, or procedures that no other (Q174) company can use, will it in the future, or is this not relevant to this business?

1 Yes


3 No, Not relevant

Q12 Has any applications for a patent, copyright, or trademark relevant to this business been submitted, will an (Q176) application be submitted in the future, or is this not relevant for this business?

1 Yes


3 No, Not relevant

Q25 Have financial projections, such as income or cash flow statements or break-even analyses, ever been (Q191) developed for this business? (If not: Will financial projections be developed in the future, or is this not

relevant for the new business?)

1 Yes


3 No, Not relevant

Q37 Apart from the owners, are any people working for this business for pay, including any managers, (Q204) employees, or exclusive subcontractors? [IF ‘NO’]: Will any be hired in the future, or is this not relevant for

this business?

1 Yes


3 No, Not relevant


21

ASK IF Q37 = YES Q38. Apart from owners, how many managers or employees, including exclusive subcontractors, currently work (Q205) 35 hours or more per week for this new business.

INTERVIEWER NOTE: ENTER 9999 IF RESPONDENT DOES NOT KNOW

Enter number given:

ASK IF Q37 = YES Q39 Apart from owners, how many managers or employees, including exclusive subcontractors, currently work (Q206) less than 35 hours per week.


Enter number given:

Q40 What were the business’ sales in total dollars over the past 12 months approximately? (Q2027)

INTERVIEWER NOTE: PLEASE PROBE FOR A DOLLAR AMOUNT. ESTIMATE IS BETTER THAN DON’T KNOW. ENTER FULL AMOUNT (DO NOT SHORTEN TO THOUSANDS OR MILLIONS).

ENTER FULL $ AMOUNT:

Don’t Know - 999,999,999

Refused - 999,999,998

Q41 What were business’ profits or losses in total dollars over the past 12 months approximately? (Q2028/ (Q2029) INTERVIEWER NOTE: ESTIMATE IS BETTER THAN DON’T KNOW. ENTER FULL AMOUNT (DO

NOT SHORTEN TO THOUSANDS OR MILLIONS). PROGRAMMER NOTE: MULTIPLE VARIABLES

PROFIT LOSS

ENTER FULL $ AMOUNT: $............ $............

Don’t Know - 999,999,999 999,999,999

Refused - 999,999,998 999,999,998

Q42 Has this business become a member of a trade or industry association, will it in the future, or is this not (Q210) relevant to this business?

1 Yes


3 No, Not relevant

Q43 IF ‘SOLO: Have you joined any Internet-based networks or communities for the purpose of helping the (Q211) development of this business; will you do so in the future, or is this not relevant to this new business?

IF PARTNER: Have you or your partner joined any Internet-based networks or communities for the purpose of helping the development of this business; will you do so in the future, or is this not relevant to this new business? IF TEAM: Have you or other owners joined any Internet-based networks or communities for the purpose of helping the development of this business; will you do so in the future, or is this not relevant to this new business?

1 Yes


3 No, Not relevant


22

Q44 IF SOLO: Have you personally joined any face-to-face business networks or associations, or a service

club (Q212) like the Lions or Rotary, for the purpose of helping the development of this business; will you do so in the

future, or is this not relevant to this business? IF PARTNER: Have you or your partner joined any face-to-face business networks or associations, or a service club like the Lions or Rotary, for the purpose of helping the development of this business; will you do so in the future, or is this not relevant to this business? IF TEAM: Have you or other owners joined any face-to-face business networks or associations, or a service club like the Lions or Rotary, for the purpose of helping the development of this business; will you do so in the future, or is this not relevant to this business?

1 Yes


3 No, Not relevant

Q45 Does this business have a functioning website on the Internet; will it have one in the future, or is that not (Q213) relevant to this business?

1 Yes


3 No, Not relevant


23

1. Gestation Activities 1 – Nascent Entrepreneur SOLO TEXT: In this section I will ask about a number of things you may or may not have done in order to establish your new business. For those things that have been done I will ask in what year and month. When you do not remember exactly your best guess is much better for our purposes than is a ‘don’t know’ answer. Please answer the following questions as they directly relate to the launch of this new business and not other businesses you may have helped to start. PARTNER TEXT: In this section I will ask about a number of things you and your partner may or may not have done in order to establish your new business. For those things that have been done I will ask in what year and month. When you do not remember exactly your best guess is much better for our purposes than is a ‘don’t know’ answer. Please answer the following questions as they directly relate to the launch of this new business and not other businesses you may have helped to start. TEAM TEXT: In this section I will ask about a number of things you or other owners may or may not have done in order to establish your new business. For those things that have been done I will ask in what year and month. When you do not remember exactly your best guess is much better for our purposes than is a ‘don’t know’ answer. Please answer the following questions as they directly relate to the launch of this new business and not other businesses you may have helped to start. Q5a PRODUCT TEXT: Is the product that this new business will sell completely developed and ready for sale

or (Q167) delivery, has it been tested with customers as a prototype, is it being developed as a model, or is the

product still in the idea stage? SERVICE TEXT: Is the service that this new business will sell completely developed and ready for sale or delivery, has it been tested with customers as a procedure, is it being developed as a procedure, or is the service still in the idea stage?

1 Completed and ready for sale

2 Prototype/procedure tested with customers

3 Model/procedure is being developed

4 Still in the idea stage; no work done yet

ASK IF Q5A=1 Q5b PRODUCT TEXT: Have you developed this product yourselves or are you re-selling a product that has (Q168) been developed elsewhere?

SERVICE TEXT: Have you developed this service concept yourselves or are you applying a service concept that was developed elsewhere, for example by a franchisor or licensor?

1 Developed themselves

2 Developed elsewhere GO TO Q7

ASK IF CODES 1-3 AT Q5A Q6 PRODUCT TEXT: In what month and year did the development of this product begin? (Q426/ SERVICE TEXT: In what month and year did the development of this service begin? Q427)

INTERVIEWER NOTE: ENTER 99/9999 IF RESPONDENT DOES NOT KNOW


ASK IF Q5A=1 AND Q5B =1 Q7 PRODUCT TEXT: In what month and year did this new business have the product completed and ready

for (Q428) sale?

SERVICE TEXT: In what month and year did this new business have the service completed and ready for sale?


24

ASK IF Q5A=1 AND Q5B =2 (Q429) PRODUCT TEXT: In what month and year did you obtain the right to re-sell this product?

SERVICE TEXT: In what month and year did you obtain the right to apply this service concept?



Q8 Have marketing or promotional efforts been started, will marketing or promotional efforts be undertaken in (Q171) the future, or is this not relevant to the new business?

1 Yes


3 No, Not relevant

ASK IF CODE 1 AT Q8 Q9 In what month and year did marketing or promotional efforts begin? (Q430/ Q431) INTERVIEWER NOTE: ENTER 99/9999 IF RESPONDENT DOES NOT KNOW


Q10 Has this new business developed any proprietary technology, processes, or procedures that no other (Q174) company can use, will it in the future, or is this not relevant to the new business?

1 Yes


3 No, Not relevant

ASK IF CODE 1 AT Q10 Q11 In what month and year was the proprietary technology or process developed for this new business? (Q432/ Q433)

17 Still In Development


Q12 Have any applications for a patent, copyright, or trademark relevant to this new business been submitted, (Q176) will an application be submitted in the future, or is this not relevant for the new business?

1 Yes


3 No, Not relevant

ASK IF CODE 1 AT Q12 Q13 In what month and year did preparation first begin for an application of a patent, copyright, or trademark? (Q434/ Q435) INTERVIEWER NOTE: ENTER 99/9999 IF RESPONDENT DOES NOT KNOW



25

ASK IF CODE 1 AT Q12 Q14 In what month and year was a patent, copyright, or trademark first granted? (Q436/ Q437) INTERVIEWER NOTE: ENTER 99/9999 IF RESPONDENT DOES NOT KNOW


Q15 Have any major items like equipment, facilities, or property been purchased, leased, or rented specifically (Q180) for this new business, will major items be purchased, leased, or rented in the future, or is this not relevant

for the new business?

1 Yes


3 No, Not relevant

ASK IF CODE 1 AT Q15 Q16 In what month and year did these purchases, leases, or rental agreements begin specifically for this new (Q438/ business? Q439)



Q17 Have purchases been made of any raw materials, inventory, supplies, or components specifically for this (Q182) new business, will such purchases be made in the future, or is it not relevant to the new business?

1 Yes


3 No, Not relevant

ASK IF CODE 1 AT Q17 Q18 In what month and year did these purchases begin specifically for this new business? (Q440/ Q441) INTERVIEWER NOTE: ENTER 99/9999 IF RESPONDENT DOES NOT KNOW


Q19 PRODUCT TEXT: Has an effort been made to talk with potential customers about the product of this new (Q184) business, will an effort be made in the future, or is this not relevant for the new business?

SERVICE TEXT: Has an effort been made to talk with potential customers about the service of this new business, will an effort be made in the future, or is this not relevant for the new business?

1 Yes


3 No, Not relevant

ASK IF CODE 1 AT Q19 Q20 In what month and year did these discussions begin? (Q442/ Q443) INTERVIEWER NOTE: ENTER 99/9999 IF RESPONDENT DOES NOT KNOW



26

Q21 Has an effort been made to collect information about the competitors of this new business, will an effort be (Q186) made in the future, or is this not relevant to the new business?

1 Yes


3 No, Not relevant

ASK IF CODE 1 AT Q21 Q22 In what month and year did collecting this information begin? (Q444/ Q445) INTERVIEWER NOTE: ENTER 99/9999 IF RESPONDENT DOES NOT KNOW


Q23 Has an effort been made to define the market opportunities for this new business, will an effort be made to (Q188) define market opportunities, or is this not relevant for this new business?

1 Yes


3 No, Not relevant

ASK IF CODE 1 AT Q23 Q24 In what month and year did defining the market opportunities begin for this new business? (Q446/ Q447) INTERVIEWER NOTE: ENTER 99/9999 IF RESPONDENT DOES NOT KNOW


Q25 Have financial projections, such as income or cash flow statements or break-even analyses, been (Q191) developed, will financial projections be developed in the future, or is this not relevant for the new

business?

1 Yes


3 No, Not relevant

ASK IF CODE 1 AT Q25 Q26 In what month and year did these financial projections begin for this new business? (Q448/ Q449) INTERVIEWER NOTE: ENTER 99/9999 IF RESPONDENT DOES NOT KNOW


Q27 Has an effort been made to determine the regulatory requirements for this new business, such as

operating (Q193) licenses, permits, or health and safety regulations, will an effort be made to determine the regulatory

requirements in the future, or is this not relevant to the new business?

1 Yes


3 No, Not relevant


27

ASK IF CODE 1 AT Q27 Q28 In what month and year were the regulatory requirements for this new business determined? (Q450/ Q451) INTERVIEWER NOTE: ENTER 99/9999 IF RESPONDENT DOES NOT KNOW

17 Still In process


Q29 Does this new business carry liability insurance, will liability insurance be obtained in the future, or is this (Q195) not relevant for this new business?

1 Yes


3 No, Not relevant

ASK IF CODE 1 AT Q29 Q30 In what month and year was liability insurance for this new business first purchased? (Q452/ Q453) INTERVIEWER NOTE: ENTER 99/9999 IF RESPONDENT DOES NOT KNOW


Q31 Has this business registered for an Australian Business Number, ABN, or is that something you will do in (Q197) the future?

1 Yes


3 No, Not relevant

ASK IF CODE 1 AT Q31 Q32 In what month and year did this new business register for ABN? (Q454/ Q455) INTERVIEWER NOTE: ENTER 99/9999 IF RESPONDENT DOES NOT KNOW


Q33 Has this business registered for Goods & Services Tax, GST, will it do so in the future, or is this not

relevant (Q199) to the new business?

1 Yes


3 No, Not relevant

ASK IF CODE 1 AT Q33 Q34 In what month and year did this new business register for GST? (Q456/ Q457) INTERVIEWER NOTE: ENTER 99/9999 IF RESPONDENT DOES NOT KNOW



28

Q35 Has this business registered for Pay as You Go Withholding (or PAYG), will it do so in the future, or is this (Q201) not relevant to the new business? INTERVIEWER NOTE: PAYG refers to withholding money from employees to give to the tax office.

If you conduct your business through a company, you are also required to withhold from payments to your company directors for their services. You may have to withhold an amount from payments to other workers, such as contractors. You also need to withhold an amount from payments to other businesses if they don't quote their ABN to you.

1 Yes


3 No, Not relevant

ASK IF CODE 1 AT Q35 Q36 In what month and year did this new business register for Pay as You Go Withholding? (Q458/ Q459) INTERVIEWER NOTE: ENTER 99/9999 IF RESPONDENT DOES NOT KNOW



29

2. BUSINESS IDEA NEWNESS – Nascent Entrepreneur/Young Firm TEXT TO USE IS DETERMINED BY RESPONSE TO QB4 FROM SECTION ‘CLASSIFYING THE VENTURE’

Response to B4 Inserted wording

1. Retailing Retailers

2. Restaurant, hotel, bar or nightclub The food and beverage industry

3. Customer or consumer service Consumer services businesses

4. Health, education or social services Businesses in health, education or social services

5. Manufacturing Manufacturing companies

6. Construction Construction companies

7. Agriculture Agricultural companies

8. Mining Mining companies

9. Wholesale Wholesalers

10. Transportation Transportation companies

11. Utilities Utility companies

12. Communications Communications companies

13. Finance Finance companies

14. Insurance Insurance companies

15. Real Estate Real estate companies

16. Business consulting or service Business services companies

17. Other Businesses similar to yours

Any other code for missing value of any kind Businesses similar to yours

ASK ALL Q1 I would now like to ask some questions about the characteristics of your ‘business idea’, or ‘business (Q217) model’. By ‘business idea’ and ‘business model’ we here mean your core ideas about things like What

you are going to sell; who you will sell it to; how you will sell it, and how you will acquire or produce what you are going to sell. For each of the following statements please answer ‘yes’ or ‘no’.

NASCENT ENTREPENUER TEXT PRODUCT TEXT: Will you offer a product, which is entirely new for [INSERT TEXT BASED ON ANSWER TO QB4; CLASSIFYING THE VENTURE]? SERVICE TEXT: Will you offer a service, which is entirely new for [INSERT TEXT BASED ON ANSWER TO QB4; CLASSIFYING THE VENTURE]? YOUNG FIRM TEXT PRODUCT TEXT: Is your main product entirely new for [INSERT TEXT BASED ON ANSWER TO QB4; CLASSIFYING THE VENTURE]? SERVICE: Is your main service entirely new for [INSERT TEXT BASED ON ANSWER TO QB4; CLASSIFYING THE VENTURE]?

1 Yes

2 No

7 Refused

9 Don’t know


30

IF YES (CODE 1) AT Q1

Q2 NASCENT ENTREPENUER TEXT (Q218) PRODUCT TEXT: Will the product be entirely new to the world or entirely new just in the places where

you are going to be active? SERVICE TEXT: Will the service be entirely new to the world or entirely new just in the places where you

are going to be active? YOUNG FIRM TEXT PRODUCT TEXT: Is the product entirely new to the world or entirely new just in the places where you are active? SERVICE TEXT: Is the service entirely new to the world or entirely new just in the places where you are active?

1 New to World

2 New only in places where active

7 Refused

9 Don’t know

IF NO, DON’T KNOW OR REFUSED (CODES 2-4) AT Q1 Q3 NASCENT ENTREPENUER TEXT (Q219) PRODUCT TEXT: If not entirely new, will the product be a substantial improvement compared to what

other businesses have offered before? SERVICE TEXT: If not entirely new, will the service be a substantial improvement compared to what other businesses have offered before? YOUNG FIRM TEXT PRODUCT TEXT: If not entirely new, is your main product a substantial improvement compared to what other businesses have offered before? SERVICE TEXT: If not entirely new, is your main service a substantial improvement compared to what other businesses have offered before?

1 Yes

2 No

7 Refused

9 Don’t know

ASK ALL Q4 NASCENT ENTREPENUER TEXT: Will you use a method for promotion or selling, which is entirely new

for (Q220) [INSERT TEXT BASED ON ANSWER TO QB4; CLASSIFYING THE VENTURE]?

YOUNG FIRM TEXT: Do you use a method for promotion or selling, which is entirely new for [INSERT TEXT BASED ON ANSWER TO QB4; CLASSIFYING THE VENTURE]?

1 Yes

2 No

7 Refused

9 Don’t know

ASK IF YES AT Q4 Q5 NASCENT ENTREPENUER TEXT: Will the method for promotion or selling be entirely new to the world,

or (Q222) has it been used before in other places or industries?

YOUNG FIRM TEXT: Is the method for promotion or selling entirely new to the world, or has it been used before in other places or industries?

1 New to World

2 Has been used before

7 Refused

9 Don’t know


31

IF NO, DON’T KNOW OR REFUSED (CODES 2-4) AT Q4 Q6 NASCENT ENTREPENUER TEXT: If not entirely new, will the method for promotion or selling somehow (Q223) be substantially different compared to what [INSERT TEXT BASED ON ANSWER TO QB4;

CLASSIFYING THE VENTURE] have used before? YOUNG FIRM TEXT: If not entirely new, is the method for promotion or selling somehow substantially different compared to what [INSERT TEXT BASED ON ANSWER TO QB4; CLASSIFYING THE VENTURE] have used before?

1 Yes

2 No

7 Refused

9 Don’t know

ASK ALL Q7 NASCENT ENTREPENUER TEXT (Q224) PRODUCT TEXT: Will you use a method for producing or sourcing your products, which is entirely new

for [INSERT TEXT BASED ON ANSWER TO QB4; CLASSIFYING THE VENTURE]? SERVICE TEXT: Will you use a method for producing or sourcing your services, which is entirely new for [INSERT TEXT BASED ON ANSWER TO QB4; CLASSIFYING THE VENTURE]? YOUNG FIRM TEXT: PRODUCT TEXT: Do you use a method for producing or sourcing your products, which is entirely new for [INSERT TEXT BASED ON ANSWER TO QB4; CLASSIFYING THE VENTURE]? SERVICE TEXT: Do you use a method for producing or sourcing your services, which is entirely new for [INSERT TEXT BASED ON ANSWER TO QB4; CLASSIFYING THE VENTURE]?

1 Yes

2 No

7 Refused

9 Don’t know

ASK IF YES AT Q7 Q8 NASCENT: Will the method for producing or sourcing be entirely new to the world, or has it been used (Q225) before in other places or industries?

YOUNG FIRM: Is the method for producing or sourcing entirely new to the world, or has it been used before in other places or industries?

1 New to World

2 Has been used before

7 Refused

9 Don’t know

IF NO, DON’T KNOW OR REFUSED (CODES 2-4) AT Q7 Q9 NASCENT: If not entirely new, will the method for producing or sourcing somehow be substantially

different (Q226) compared to what [INSERT TEXT BASED ON ANSWER TO QB4; CLASSIFYING THE VENTURE] have

used before? YOUNG FIRM: If not entirely new, is the method for producing or sourcing somehow substantially different compared to what [INSERT TEXT BASED ON ANSWER TO QB4; CLASSIFYING THE VENTURE]? have used before?

1 Yes

2 No

7 Refused

9 Don’t know


32

ASK ALL Q10 NASCENT: Will you focus on customers or target markets that other businesses have totally neglected? (Q228) YOUNG FIRM: Do you focus on customers or target markets that other businesses have totally

neglected?

1 Yes

2 No

7 Refused

9 Don’t know

ASK IF YES AT Q10 Q11 NASCENT: Does that mean that you will focus on serving customers or target markets that NO other (Q229) businesses focus on or those that MOST other businesses fail to serve?

YOUNG FIRM: Does that mean that you focus on serving customers or target markets that NO other businesses focus on or those that MOST other businesses fail to serve?

1 Markets/customers served by NO other firms

2 Markets/customers not served by MOST other firms

7 Refused

9 Don’t know

IF NO, DON’T KNOW OR REFUSED (CODES 2-4) AT Q10 Q12 NASCENT: Will your selection of customers or target markets somehow be substantially different from

what (Q230) other businesses apply?

YOUNG FIRM: Is your selection of customers or target markets somehow substantially different from what other businesses apply?

1 Yes

2 No

7 Refused

9 Don’t know


33

3. BUSINESS IDEA RELATEDNESS – Nascent Entrepreneur

(Young Firms GO TO NEXT SECTION) IF ‘SOLO’ Read: I will now read to you a number of statements about your business idea or business model. For each of the statements I want you to say whether you completely disagree; partly disagree; are neutral; partly agree, or completely agree with the statement. Interviewer note: By ‘business idea’ and ‘business model’ we here mean your core ideas about things like What you are going to sell; who you will sell it to; how you will sell it, and how you will acquire or produce what you are going to sell. IF ‘PARTNER’ Read: I will now read to you a number of statements about your business idea or business model. For each of the statements I want you to say whether you completely disagree; partly disagree; are neutral; partly agree, or completely agree with the statement. In these statements, when I say ‘you’ I mean the statement applies to you or you partner, or both. Interviewer note: By ‘business idea’ and ‘business model’ we here mean your core ideas about things like What you are going to sell; who you will sell it to; how you will sell it, and how you will acquire or produce what you are going to sell. IF ‘TEAM’ Read: I will now read to you a number of statements about your business idea or business model. For each of the statements I want you to say whether you completely disagree; partly disagree; are neutral; partly agree, or completely agree with the statement. In these statements, when I say ‘you’ I mean the statement applies to you or any other owner. Interviewer note: By ‘business idea’ and ‘business model’ we here mean your core ideas about things like What you are going to sell; who you will sell it to; how you will sell it, and how you will acquire or produce what you are going to sell. Q1 USE APPROPRIATE TERM – PRODUCT OR SERVICE – BASED UPON EARLIER RESPONSES: (Q234 Firstly, to what extent do you agree or disagree with… READ STATEMENT THEN SCALE (01 TO 05 A-L) ONLY). Completely

disagree Partly

disagree Neutral Partly

agree Completely

agree Undecided DK Refused

The PRODUCT/SERVICE offerings are selected so that they are very closely matched with the knowledge and skills that you already had

01 02 03 04 05 96 98 99

The customers or target markets are selected so that they are very closely matched with the knowledge and skills

that you already had

01 02 03 04 05 96 98 99

The methods for producing or sourcing are selected so that

they are very closely matched with the knowledge and skills that you already had

01 02 03 04 05 96 98 99

The methods for promotion and selling are selected so that they are very closely matched with the knowledge and skills that you already had

01 02 03 04 05 96 98 99

The PRODUCT/SERVICE offerings are selected because they represent the most profitable opportunities that exist in the market

01 02 03 04 05 96 98 99

The customers or target markets are selected because they represent the most

01 02 03 04 05 96 98 99


34

profitable opportunities that exist in the market

The methods for producing or sourcing are selected because they represent the most profitable opportunities that exist in the market

01 02 03 04 05 96 98 99

The methods for promotion and selling are selected because they represent the most profitable opportunities that

exist in the market

01 02 03 04 05 96 98 99

The PRODUCT/SERVICE offerings are selected to very

closely match the financial, physical and other resources you have access to

01 02 03 04 05 96 98 99

The customers or target

markets are selected to very closely match the financial, physical and other resources you have access to

01 02 03 04 05 96 98 99

The methods for producing or sourcing are selected to very closely match the financial, physical and other resources you have access to

01 02 03 04 05 96 98 99

The methods for promotion and selling are selected to very

closely match the financial, physical and other resources you have access to

01 02 03 04 05 96 98 99


35

4. Business Idea Change – Nascent Entrepreneur & Young Firm NASCENT ENTREPENEURS ONLY INTRODUCTION I will now ask some questions about changes to your ‘business idea’, or ‘business model’ over time, if any. For each of the following statements I would like to know whether there has been any important change since the earliest days of this start-up and, if so, roughly how many changes there have been of that kind. Interviewer Note: By ‘business idea’ and ‘business model’ we here mean your core ideas about things like What you are going to sell; who you will sell it to; how you will sell it, and how you will acquire or produce what you are going to sell. YOUNG FIRM ONLY INTRODUCTION I will now ask some questions about changes to your ‘business idea’, or ‘business model’ over time, if any. For each of the following statements I would like to know whether there has been any important change since this business first started trading on a regular basis and, if so, roughly how many changes there have been of that kind. Interviewer Note: By ‘business idea’ and ‘business model’ we here mean your core ideas about things like What you are going to sell; who you will sell it to; how you will sell it, and how you will acquire or produce what you are going to sell. Q1-4 Have there been any changes regarding …. READ OUT EACH IN TURN (Q238 NE TEXT If yes: about how many such changes since the earliest days of this start-up? A-D) YF TEXT If yes: about how many such changes since this business first started trading on a regular basis?

No Yes, 1 change

Yes, 2 change

Yes, 3 change

Yes, 4 change

Yes, 5+ change

DK Refused

the products or services that you sell or intend to sell

0 1 2 3 4 5 8 9

NE TEXT: what customers you sell to or intend to sell to

0 1 2 3 4 5 8 9

YF TEXT: what customers you sell to

0 1 2 3 4 5 8 9

the method for promoting or selling 0 1 2 3 4 5 8 9

the method for producing or sourcing

0 1 2 3 4 5 8 9

INTERVIEWER NOTE: Yes, 5+ changes (use also for ‘unspecified high number’’) ASK ALL Q5-14 I have a list of potential reasons for changes in the ‘business idea’ or ‘business model’. Please let me

know (Q240 how many changes were motivated by each of the following. It is okay to report no changes as well as A-J) multiple motivations for each change – use any that apply.” Firstly, READ OUT EACH STATEMENT

If yes: about how many such changes for this reason?

No Yes, 1 change

Yes, 2 change

Yes, 3 change

Yes, 4 change

Yes, 5+ change

DK Refused

Customers requested changes 0 1 2 3 4 5 8 9

Market research suggested it 0 1 2 3 4 5 8 9

Suppliers suggested the changes 0 1 2 3 4 5 8 9

Funding opportunities or investors suggested it

0 1 2 3 4 5 8 9

Had to make changes because of lack of funds

0 1 2 3 4 5 8 9

Changes to the management team triggered changes to the business idea

0 1 2 3 4 5 8 9


36

Success with a customer refocussed your effort

0 1 2 3 4 5 8 9

Failure with a customer refocussed your effort

0 1 2 3 4 5 8 9

A partnership with another business encouraged changes

0 1 2 3 4 5 8 9

Internal interest in a new innovation led to changes

0 1 2 3 4 5 8 9


37

5. Gestation Activities 2 – Nascent Entrepreneur SOLO TEXT: In this section I will ask about a few more things you may or may not have done in order to establish your new business. Please answer the following questions as they directly relate to the launch of this new business and not other businesses you may have helped to start. PARTNER TEXT: In this section I will ask about a few more things you and your partner may or may not have done in order to establish your new business. Please answer the following questions as they directly relate to the launch of this new business and not other businesses you may have helped to start. TEAM TEXT: In this section I will ask about a few more things you or other owners may or may not have done in order to establish your new business. Please answer the following questions as they directly relate to the launch of this new business and not other businesses you may have helped to start Q1 A business plan usually outlines the markets to be served, the products or services to be provided, the (Q498) resources required –- including money –- and the expected growth and profit for the new business. Have

you already begun preparation of a business plan for this new business, will you prepare one in the future, or is a business plan not relevant for this new business?

1 Yes


3 No, Not relevant

ASK IF YES AT Q1 Q2 What is the current form of your business plan -– is it unwritten or in your head, informally written, or (Q499) formally prepared?

1 Unwritten – in head

2 Informally written

3 Formally prepared

ASK IF YES AT Q1 Q3 In what month and year did you start preparing the business plan? (Q501/ Q502) INTERVIEWER NOTE: ENTER 99/9999 IF RESPONDENT DOES NOT KNOW


ASK IF CODE 2 OR 3 AT Q2 Q4a In what month and year was the first version of the business plan completed? (Q504/ Q505) INTERVIEWER NOTE: ENTER 99/9999 IF RESPONDENT DOES NOT KNOW


ASK IF CODE 2 OR 3 AT Q2 Q4b Has the business plan been revised since the first version was completed? (Q507)

1 Yes

2 No


38

ASK IF CODE 1 AT Q4B Q4c What month and year was the business plan most recently revised? (Q509/ Q510) INTERVIEWER NOTE: ENTER 99/9999 IF RESPONDENT DOES NOT KNOW.

RECORD MONTH & YEAR mm/yyyy

ASK IF CODE 2 OR 3 AT Q2 Q4d I want you to answer the following on a scale from 1 to 5, where “1” means “not important at all” and “5” (Q512 means “very important”. So far, how important or unimportant has your business plan been for the A-D) following uses? READ OUT.

Not important

at all




As an action plan that you follow step by step? 1 2 3 4 5

As a means to try to obtain external finance or other benefits from others?

1 2 3 4 5

As a means of thinking things through in order to seize opportunities or avoid mistakes?

1 2 3 4 5

As a tool for communicating strategic action within the business

1 2 3 4 5

ASK ALL (i.e., even if Q1 = 3). READ FIRST PART ONLY IF NOT ALREADY INTRODUCED TO SCALE AT Q4d. Q4e I want you to answer the following on a scale from 1 to 5, where “1” means “not important at all” and “5” (Q514 means “very important”. In the next 12 months, how important or unimportant do you expect a written A-D) business plan will be for the following uses? READ OUT.

Not important

at all




As an action plan that you follow step by step? 1 2 3 4 5

As a means to try to obtain external finance or other benefits from others?

1 2 3 4 5

As a means of thinking things through in order to seize opportunities or avoid mistakes?

1 2 3 4 5

As a tool for communicating strategic action within the business

1 2 3 4 5

Q1 Have financial institutions or other people been asked for funds for this new business, do you expect to

ask (Q515) for funds in the future, or is outside financial support not relevant for this new business?

1 Yes


3 No, Not relevant

ASK IF CODE 1 AT Q1 Q2 In what month and year did you first seek outside funding for this new business? (Q460/ Q461) INTERVIEWER NOTE: ENTER 99/9999 IF RESPONDENT DOES NOT KNOW


ASK IF CODE 1 AT Q1 Q3 Have you received the first outside funding from financial institutions or other people for this new business? (Q244)

1 Yes

2 No


39

ASK IF CODE 1 AT Q3 Q4 In what month and year did the first outside funding begin for this new business? (Q462/ Q463) INTERVIEWER NOTE: ENTER 99/9999 IF RESPONDENT DOES NOT KNOW


Q5 Has credit with a supplier been established, will credit with a supplier be established, or is this not relevant (Q246) to the new business?

1 Yes


3 No, Not relevant

ASK IF CODE 1 AT Q5 Q6 In what month and year was a supplier credit first established? (Q464/ Q465) INTERVIEWER NOTE: ENTER 99/9999 IF RESPONDENT DOES NOT KNOW


Q7a SOLO TEXT: Do you regularly spend 35 hours or more per week working on this start-up? (Q248) PARTNER/TEAM TEXT: Do any of the owners regularly spend 35 hours or more per week working on

this start-up?

1 Yes


3 No, Not relevant

ASK IF CODE 1 AT 7A Q7b SOLO TEXT: In what month and year did you first start to regularly spend 35 hours or more on per week (Q466/ this start-up?? Q467) PARTNER/TEAM TEXT: In what month and year did you any of the owners first start to regularly spend

35 hours or more per week on this start-up?



Q7c Apart from the owners, are any people working for this business for pay, including any managers, (Q250) employees, or exclusive subcontractors? [IF ‘NO’]: Will any be hired in the future, or is this not relevant for

the new business?

1 Yes


3 No, Not relevant

ASK IF CODE 1 AT Q7c Q8 In what month and year was the first person hired for this new business? (Q468/ Q469) INTERVIEWER NOTE: ENTER 99/9999 IF RESPONDENT DOES NOT KNOW



40

ASK IF CODE 1 AT Q7c Q9 How many managers or employees, including exclusive subcontractors, currently work 35 hours or more (Q252) per week for this new business, not counting the owners?


RECORD NUMBER:

ASK IF CODE 1 AT Q7c Q10 How many managers or employees, including exclusive subcontractors, currently work less than 35 hours (Q253) per week, not counting the owners?


RECORD NUMBER:

Q11 Has a bank account been opened to use exclusively for this new business, do you expect to open one in (Q255) the future, or is this not relevant for this new business?

1 Yes


3 No, Not relevant

4 Using an existing account

ASK IF CODE 1 OR 4 AT Q6 Q12 In what month and year (was the first exclusive account opened / was an existing account first used) for

this (Q470/ new business? Q471)



Q13 Has this new business received any money, income, or fees from the sale of goods or services? (Q257)

1 Yes

2 No

ASK IF CODE 1 AT Q13 Q14 In what month and year was the first income received from the sale of goods or services for this new (Q472/ business? Q473)



ASK IF CODE 1 AT Q13 Q15 What were the business’ sales in total dollars over the past 12 months approximately? (Q2030)

INTERVIEWER NOTE: ESTIMATE IS BETTER THAN DON’T KNOW. ENTER FULL AMOUNT (DO NOT SHORTEN TO THOUSANDS OR MILLIONS).


Don’t Know - 999999

Refused - 999998


41

ASK IF CODE 1 AT Q13 Q16 Has monthly revenue ever exceeded monthly expenses for this new business? (Q260)

1 Yes

2 No

ASK IF CODE 1 AT Q16 Q17 In what month and year did monthly revenue first exceed monthly expenses for this new business? (Q474/ Q475) INTERVIEWER NOTE: ENTER 99/9999 IF RESPONDENT DOES NOT KNOW


ASK IF CODE 1 AT Q16 Q18 Are salaries for the managers who are also owners included in the computation of monthly expenses? (Q262)

1 Yes

2 No

3 Partial salary (if vol.)

ASK IF CODE 1 AT Q16 Q19 What were business’ profits or losses in total dollars over the past 12 months approximately? (Q2031/ Q2032) INTERVIEWER NOTE: ESTIMATE IS BETTER THAN DON’T KNOW. ENTER FULL AMOUNT (DO

NOT SHORTEN TO THOUSANDS OR MILLIONS). PROGRAMMER: NOTE RESULT MUST BE TWO SEPARATE VARIABLE

PROFIT LOSS

ENTER FULL $ AMOUNT: $............ $............

Don’t Know 9999999 9999999

Refused 9999998 9999998

Q20 Has an accountant been retained for this new business, will an accountant be retained in the future, or is (Q266) this not relevant for this new business?

1 Yes


3 No, Not relevant

ASK IF CODE 1 AT Q20 Q21 In what month and year was an accountant retained for this new business? (Q476/ Q477) INTERVIEWER NOTE: ENTER 99/9999 IF RESPONDENT DOES NOT KNOW


Q22 Has a lawyer been retained for this new business, will a lawyer be retained in the future, or is this not (Q268) relevant to this new business?

1 Yes


3 No, Not relevant


42

ASK IF CODE 1 AT Q22 Q23 In what month and year was a lawyer retained for this new business? (Q478/ Q479) INTERVIEWER NOTE: ENTER 99/9999 IF RESPONDENT DOES NOT KNOW


Q24 Has this new business become a member of a trade or industry association, will this new business

become (Q270) a member of a trade or industry association in the future, or is this not relevant to this new business?

1 Yes


3 No, Not relevant

ASK IF CODE 1 AT Q24 Q25 In what month and year did the new business first become a member of a trade or industry association (Q480/ Q481) INTERVIEWER NOTE: ENTER 99/9999 IF RESPONDENT DOES NOT KNOW


Q26 SOLO TEXT: There exists a number of government and non-government organisations that offer advice (Q273) and support to business start-ups. Have you contacted any such organisations for the purpose of helping

this business get going; will you do so in the future, or is this not relevant to this new business? PARTNER TEXT: There exists a number of government and non-government organisations that offer advice and support to business start-ups. Have you or your partner contacted any such organisations for the purpose of helping this business get going; will you do so in the future, or is this not relevant to this new business? TEAM TEXT: There exists a number of government and non-government organisations that offer advice and support to business start-ups. Have you or any other owner contacted any such organisations for the purpose of helping this business get going; will you do so in the future, or is this not relevant to this new business?

1 Yes


3 No, Not relevant

ASK IF CODE 1 AT Q26 Q27 In what month and year was any assistance organisation first contacted for the purpose of helping this (Q482/ business going? Q483)



Q28 IF SOLO: Have you joined any Internet-based networks or communities for the purpose of helping this (Q275) business get started; will you do so in the future, or is this not relevant to this new business?

IF PARTNER: Have you or your partner joined any Internet-based networks or communities for the purpose of helping this business get started; will you do so in the future, or is this not relevant to this new business? IF TEAM: Have you or other owners joined any Internet-based networks or communities for the purpose of helping this business get started; will you do so in the future, or is this not relevant to this new business?

1 Yes


3 No, Not relevant


43

ASK IF CODE 1 AT Q28 Q29 In what month and year was any Internet-based network or community first joined for the purpose of

helping (Q484/ this business going? Q485)



Q30 SOLO TEXT: Have you personally joined any face to face business networks or associations, or a

service (Q277) club like the Lions or Rotary, for the purpose of helping this business get started; will you do so in the

future, or is this not relevant to this new business? PARTNER TEXT: Have you or your partner joined any face to face business networks or associations, or a service club like the Lions or Rotary, for the purpose of helping this business get started; will you do so in the future, or is this not relevant to this new business? TEAM TEXT: Have you or other owners joined any face to face business networks or associations, or a service club like the Lions or Rotary, for the purpose of helping this business get started; will you do so in the future, or is this not relevant to this new business?

1 Yes


3 No, Not relevant

ASK IF CODE 1 AT Q30 Q31 In what month and year was any face to face business network first joined for the purpose of helping this (Q486/ business going? Q487)



Q32 SOLO TEXT: Have you taken any classes or attended seminars for the purpose of helping this business (Q279) going; will you do so in the future, or is this not relevant to this new business? PARTNER TEXT: Have you or your partner taken any classes or attended seminars for the purpose of

helping this business going; will you do so in the future, or is this not relevant to this new business? TEAM TEXT: Have you or any other owner taken any classes or attended seminars for the purpose of helping this business going; will you do so in the future, or is this not relevant to this new business?

1 Yes


3 No, Not relevant

ASK IF CODE 1 AT Q32 Q33 In what month and year was any class or seminar first attended for the purpose of helping this business (Q488/ going? Q489)



Q34 Can potential customers contact this new business by phone, e-mail or by both phone and email? (Q281)

1 Phone

2 Email

3 Both

4 Neither


44

ASK IFCODES 1-3 AT Q34 Q35 In what month and year did this new business first become reachable in this way? [that is, through a

listing (Q490/ in the phone book or a business e-mail] Q491)



Q36 Does the new business have a functioning website on the Internet; will it have one in the future, or is that (Q283) not relevant to the new business?

1 Yes


3 No, Not relevant

ASK IF CODE 1 AT Q36 Q37 In what month and year did this new business first have a functioning website on the Internet? (Q492/ Q493) INTERVIEWER NOTE: ENTER 99/9999 IF RESPONDENT DOES NOT KNOW



45

6. Effectuation – NE and YF NASCENT TEXT: Read: I would now like to read some paired statements about things you (IF PARTNER OR TEAM: ‘or other owners’) may or may not have done with regards to this start-up in the last twelve months. For each pair I want you to say which is truer for your start-up. YOUNG FIRM TEXT: Read: I would now like to read some paired statements about things you (IF PARTNER OR TEAM: or other owners) may or may not have done with regards to this business in the last twelve months. For each pair I want you to say which is truer for your business. Q1 Over the past 12 months, which of the following two financial objectives did you spend more of your time (Q286) and attention on? Quote:

1 “Making the losses as small as possible in case things go wrong” OR

2 “Targeting the highest possible profits in case things go well

7 Refused (DO NOT READ)

9 Don’t know (DO NOT READ)

Q2a In the past 12 months, has the business encountered any significant surprise or important unforeseen

event (Q287) that you had to deal with?

1 Yes

2 No

Q2b IF NO AT Q2A GO TO Q3 (Q288) Think about the most important surprise or event of that kind. Which is truer for how you dealt with it?

READ OUT

2 ‘We built on the surprise to create a new or partly new direction for the business’ OR

3 “We worked around the surprise to stay on the original track”



Q3 Over the past 12 months, which better describes your strategic focus? READ OUT (Q289)

1 “Working to position your business to benefit from opportunities you had foreseen in an existing market” OR

2 “Working to directly create market so as to shape new opportunities”



Q4a In the past 12 months, have you /or other owners/ initiated any collaborative relationships with other (Q290) organisations?

1 Yes

2 No


46

Q4b IF NO AT Q4A GO TO Q6 (Q291) What is truer about these relationships? READ OUT

1 “They were mostly formed through our existing personal contacts” OR

2 “They were mostly formed through a broad search for relevant partners ”



Q5 Still thinking about these collaborative relationships, what is truer for how have you used them? READ OUT (Q292)

1 “We have used them strictly to help us achieve our original goals” OR

2 “We have also let them influence the direction or goals of the business”



Q6 Which is truer for the most important change to your business in the past 12 months? READ OUT (Q294)

1 “The change was mostly driven by us acquiring new resources and skills” OR

2 “The change was mostly driven by us using our original resources and skills differently”



Q7 Still thinking about this most important change, which is truer? READ OUT (Q295)

1 “Despite the change we stay true to our original goals” OR

2 “The change also included changing the goals for the business”



Q8 Over the past 12 months, which better describes how your business uses its money? READ OUT (Q296)

1 “Making smaller investment focused on getting the money back sooner” OR

2 “Making larger investments to capture as much value as possible from future success.”




47

7. Team Resources – Nascent Entrepreneur/Young Firms NE SOLO TEXT: I will now turn to some questions about what experiences and resources you and others contribute to this (NE – USE ‘new business’, YF - USE ‘business’). PARTNER OR TEAM TEXT: I will now turn to some questions about the owners and what experiences and resources you and others contribute to this (NE – USE ‘new business’, YF - USE ‘business’). ASK IF PARTNER OR TEAM (‘SOLO’ SKIP TO Q11) Q1 ‘PARTNER’ TEXT: Have you and your partner developed a formal agreement regarding shares of (Q299) ownership for the (NE – USE ‘new business’, YF - USE ‘business’).?

NASCENT TEAM TEXT: Has a formal agreement regarding shares of ownership been developed among some or all of those expecting to be owners of the new business? YOUNG FIRM TEAM TEXT: Has a formal agreement regarding shares of ownership been developed among all of the owners of the business?

1 Yes

2 No

ASK IF CODE 1 (YES) AT Q1 Q2i Does that agreement include any owners that are not individuals, for example another business, a venture (Q300) capital firm, a bank or a government agency? MULTIPLE RESPONSE

1 Yes

2 No

ASK IF CODE 1 (YES) AT 21 Q2ii Does the agreement include any of the following? (Q301 A-E)

YES NO

a Bank 1 2

b Venture capital firm 1 2

c Other business 1 2

d Government Agency 1 2

e Other organisation type 1 2

ASK IF Q1 = 1 Q3 In what month and year did you first sign an ownership agreement? (Q494/ Q495)


Q4 Are any two owners related in the following ways? READ OUT. MULTIPLE RESPONSE (Q305 A-E)

YES NO

a Spouses or partners sharing a household

1 2

b Relatives by blood 1 2 c Friends or acquaintances from

current or previous work 1 2

d Friends or acquaintances who have not worked together

1 2

e Strangers to each other before joining the new business team

1 2


48

Q5 How many owners are men and women, respectively? ENTER NUMBER (Q307A/ Q307B)

Men

Women

Q6 Can you give me the approximate age of the youngest and the oldest owner, please? RECORD AGE(S) (Q309A/ INTERVIEWER NOTE: ESTIMATE IS ACCEPTABLE Q309B)

Youngest ……………..years

Oldest ……………..years

Q7 Do any of the owners have the following ethnic backgrounds? READ OUT. MULTIPLE RESPONSE (Q311 A-F)

YES NO

1 Indigenous Australian 1 2 2 European descent 1 2 3 Asian descent 1 2 4 Middle Eastern descent 1 2 6 Mixed Ethnicity 1 2

5 Something else 1 2 Q8 How many of the owners, if any, have completed at least a diploma; a TAFE course, or a university

degree? (Q312)

RECORD NUMBER:

IF ‘ZERO’ REPORTED AT Q8, GO TO Q11 ASK IF Q8 =’1’ Q9a Has that owner completed a degree at a university? (Q314)

1 Yes

2 No GO TO Q11

ASK IF Q8 IS MORE THAN 1 Q9b How many of those, if any, have completed a degree at a university? (Q315)

RECORD NUMBER:

IF NONE, GO TO Q11 ASK IF Q9A IS ‘YES’ Q10a Has that owner completed a higher university degree? [e.g. Masters, Doctorate]? (Q316)

1 Yes

2 No

ASK IF Q9B IS 1 OR MORE’ Q10B And how many of the owners, if any, have completed at a higher university degree? [e.g. Masters, (Q317) Doctorate]

RECORD NUMBER:


49

ASK ALL (PARTNER, TEAM, & SOLO) Q11 SOLO TEXT: I will ask about experience-based knowledge shortly. For now, I want you to concentrate (Q320/ solely on knowledge you have gained through education. Based on your education and classes you have A-E) taken, can you help the business with knowledge in any of the following areas?

PARTNER TEXT: I will ask about experience-based knowledge shortly. For now, I want you to concentrate solely on knowledge you have gained through education. Based on your respective education and classes you have taken, can either you or your partner help the business with knowledge in any of the following areas? TEAM TEXT: I will ask about experience-based knowledge shortly. For now, I want you to concentrate solely on knowledge you have gained through education. Based on your respective education and classes you have taken, can you or any other owner help the business with knowledge in any of the following areas?

READ OUT STATEMENTS.

Yes, to some extent’

Yes, definitely

No Don’t know

a) Sales, marketing or customer service 1 2 3 9

b) Finance or accounting 1 2 3 9

c) Administration or Human resource management

1 2 3 9

PRODUCT ONLY d) Knowledge needed for developing products in your industry

1 2 3 9

SERVICE ONLY d) Knowledge needed for developing services in your industry

1 2 3 9

PRODUCT ONLY e) Knowledge needed for producing products in your industry

1 2 3 9

SERVICE ONLY e) Knowledge needed for delivering services in your industry

1 2 3 9

Q12 NASCENT TEXT (Q321) SOLO TEXT: How many years of work experience, if any, have you had in the industry where this

business will compete? PARTNER TEXT: How many years of work experience, if any, have you and your partner combined had in the industry where this business will compete? TEAM TEXT: How many years of work experience, if any, have you and all other owners combined had in the industry where this business will compete? YOUNG FIRM TEXT SOLO TEXT: Prior to starting this business, how many years of work experience, if any, did you have in the industry where this new business will compete? PARTNER TEXT: Prior to starting this business, how many years of work experience, if any, did you and your partner combined have in the industry where this new business will compete? TEAM TEXT: Prior to starting this business, how many years of work experience, if any, did you and all other owners combined have in the industry where this new business will compete?

INTERVIEWER NOTE: ESTIMATE IS BETTER THAN DON’T KNOW

RECORD YEARS:



50

Q13 NASCENT TEXT (Q322) SOLO TEXT: How many years of experience in general management; supervision or administration, if

any, do you have? PARTNER TEXT: How many years of experience in general management; supervision or administration, if any, do you have if we combine your experience with your partner’s? TEAM TEXT: How many years of experience in general management; supervision or administration, if any, do you have if we combine the experience of all owners? YOUNG FIRM TEXT SOLO TEXT: Prior to starting this business, how many years of experience in general management; supervision or administration, if any, did you have? PARTNER TEXT: Prior to starting this business, how many years of experience in general management; supervision or administration, if any, did you have if we combine your experience with your partner’s? TEAM TEXT: Prior to starting this business, how many years of experience in general management; supervision or administration, if any, did you have if we combine the experience of all owners?


RECORD YEARS:


Q14 NASCENT TEXT (Q324 SOLO TEXT: Based on your work experience can you help the new business with knowledge in any of A-E) the following areas?

PARTNER TEXT: Based on your respective work experience can either you or your partner help the new business with knowledge in any of the following areas? TEAM TEXT: Based on your respective work experience can you or any other owner help the new business with knowledge in any of the following areas? YOUNG FIRM TEXT SOLO TEXT: Based on the work experience you had prior to starting this business can you help the business with knowledge in any of the following areas? PARTNER TEXT: Based on the work experience you and your partner had, prior to starting this business, can either of you help the business with knowledge in any of the following areas? TEAM TEXT: Based on the work experience you or any other owner had prior to starting this business, can any of you help the business with knowledge in any of the following areas?

Yes, to some extent’

Yes, definitely

No Don’t know

a) Sales, marketing or customer service 1 2 3 9

b) Finance or accounting 1 2 3 9

c) Administration or Human resource management

1 2 3 9

PRODUCT ONLY d) Knowledge needed for developing products in your industry

1 2 3 9

SERVICE ONLY d) Knowledge needed for developing services in your industry

1 2 3 9

PRODUCT ONLY e) Knowledge needed for producing products in your industry

1 2 3 9

SERVICE ONLY e) Knowledge needed for delivering services in your industry

1 2 3 9


51

Q15 NASCENT TEXT (Q326) SOLO TEXT: How many other businesses, if any, have you helped to start as an owner or part-owner?

PARTNER TEXT: How many other businesses, if any, have you and your partner helped to start as an owner or part-owner, either together or individually? TEAM TEXT: How many other businesses, if any, have you and all other owners helped to start as owners or part-owners, either together or individually? YOUNG FIRM TEXT SOLO TEXT: Before starting this business how many other businesses, if any, had you helped to start as an owner or part-owner? PARTNER TEXT: Before starting this business how many other businesses, if any, had you and your partner helped to start as an owner or part-owner, either together or individually? TEAM TEXT: Before starting this business how many other businesses, if any, had you and all other owners helped to start as owners or part-owners, either together or individually?


RECORD NUMBER:

Don’t Know - 999

Q16 SOLO TEXT: Besides the business discussed in this interview, how many other active businesses, if any, (Q327) do you currently own?

PARTNER TEXT: Besides the business discussed in this interview, how many other active businesses, if any, do you and your partner currently own, either together or individually? TEAM TEXT: Besides the business discussed in this interview, how many other active businesses, if any, do you and all other owners combined currently own, either together or individually?


RECORD NUMBER:


Q17 NASCENT TEXT: (Q328) SOLO TEXT: Have you ever worked for more than one year as an employee in an owner-managed

business? PARTNER TEXT: Have you or your partner ever worked for more than one year as an employee in an owner-managed business? TEAM TEXT: Have you or any other owner ever worked for more than one year as an employee in an owner-managed business? YOUNG FIRM TEXT: SOLO TEXT: Before starting this business had you ever worked for more than one year as an employee in an owner-managed business? PARTNER TEXT: Before starting this business had you or your partner ever worked for more than one year as an employee in an owner-managed business? TEAM TEXT: Before starting this business had you or any other owner ever worked for more than one year as an employee in an owner-managed business?

1 Yes

2 No

9 Don’t know


52

Q18 NASCENT TEXT: (Q329) SOLO TEXT: Have you worked more than one year in a management position in a large corporation?

PARTNER TEXT: Have you/ or your partner worked more than one year in a management position in a large corporation? TEAM TEXT: Have you or any other owner worked more than one year in a management position in a large corporation? YOUNG FIRM TEXT: SOLO TEXT: Before starting this business had you worked more than one year in a management position in a large corporation? PARTNER TEXT: Before starting this business had you or your partner worked more than one year in a management position in a large corporation? TEAM TEXT: Before starting this business had you or any other owner worked more than one year in a management position in a large corporation?

1 Yes

2 No

9 Don’t know

ASK IF PARTNER OR TEAM Q19 PARTNER TEXT: Did your partner’s parents ever work for themselves or run their own business, alone or (Q330) together?

TEAM TEXT: Did any other owners’ parents ever work for themselves or run their own business, alone or together?

1 Yes

2 No

9 Don’t know

Q21 SOLO TEXT: How many hours per week do you currently work for this business? (Q332) PARTNER TEXT: How many hours per week do you and your partner combined currently work for this

business? TEAM TEXT: How many hours per week do you and all other owners combined currently work for this business? INTERVIEWER NOTE: ESTIMATE IS BETTER THAN DON’T KNOW

RECORD NUMBER:


Q22a SOLO TEXT: Can you say roughly how much money or financial resources of any kind you have invested (Q2033)in this business so far, including any loans, equity and expenditures made to help the business get

started? PARTNER TEXT: Can you say roughly how much money or financial resources of any kind you and your partner have invested in this business so far, including any loans, equity and expenditures made to help the business get started? TEAM TEXT: Can you say roughly how much money or financial resources of any kind you and all other owners combined have invested in this business so far, including any loans, equity and expenditures made to help the business get started? INTERVIEWER NOTE: ESTIMATE IS BETTER THAN DON’T KNOW. ENTER FULL AMOUNT (DO NOT SHORTEN TO THOUSANDS OR MILLIONS).


Don’t Know - 999999999

Refused - 999999998


53

NASCENT ENTREPENEUR ONLY ASK IF Q22A IS >$0 (BUT NOT DON’T KNOW OR REFUSED) Q22b SOLO TEXT: In what month and year did you first spend money on this start-up? (Q496/ PARTNER/TEAM TEXT: In what month and year did any of the owners first spend money on this start- Q497) up?



ASK IF Q22 IS NOT DON’T KNOW OR REFUSED Q23 Can you say roughly how much of that amount was in the form of loans; that is money that must be paid (Q2034) back even if the business does not make a profit?



Don’t Know - 999

Refused - 998

Q24 SOLO TEXT: What else have you provided the business with so far? Have you… READ OUT (Q338 PARTNER TEXT: What else have you or your partner provided the business with so far? Have either of A-E) you… READ OUT

TEAM TEXT: What else have you or other owners provided the business with so far? Have any of you… READ OUT

Yes No Don’t know

NE ONLY: a) put the business in contact with possible customers 1 2 9

NE ONLY: b) put the business in contact with possible suppliers 1 2 9

PRODUCT ONLY c) provided unique knowledge that allows the business to offer a superior product

1 2 9

SERVICE ONLY c) provided unique knowledge that allows the business to offer a superior service

1 2 9

d) provided access to other sources of financial assistance, like equity, loans, or loan guarantees

1 2 9

e) provided the business with a good reputation based on previous track record or being well-known in relevant circles

1 2 9

Q25 NASCENT ENTREPENEUR (Q340) Apart from the owners or any helpers that get paid for their contributions, have any other people, who will

not have an ownership share, made a distinctive contribution to this new business or provided significant support on a regular basis? YOUNG FIRM: Apart from the owners or any helpers that get paid for their contributions, have any other people, made a distinctive contribution to this business or provided significant support on a regular basis?

1 Yes

2 No

9 Don’t know


54

ASK IF YES AT Q25, OTHERS GO TO NEXT SECTION NASCENT ENTREPENUER ONLY Q20 How many hours in total have any important non-owners devoted to this business? (Q331/Q2011/Q2012/Q2013)

INTERVIEWER NOTE: ESTIMATE ONLY. IF NOT ABLE TO SAY HOURS ACCEPT ANSWER IN WEEKS OR MONTHS OF FULL TIME WORK

a) Total hours: Q2011

b) Weeks of full time work: Q2012

c) Months of full time work: Q2013

Q26 How much money or financial resources of any kind, if any, have these important non-owners provided (Q2035) this business with so far?




Refused - 999998

ASK IF YES AT Q25 Q27 In which of the following areas have these non-owners made important contributions so far? READ OUT (Q343 A-J)

Yes No Don’t know

a) Sales, marketing or customer service 1 2 9

b) Finance or accounting 1 2 9

c) Administration or Human resource management 1 2 9

d) Customer contacts 1 2 9

e) Supplier contacts 1 2 9

f) Access to additional sources of finance 1 2 9

g) A good reputation based on previous track record or being well-known in relevant circles

1 2 9

PRODUCT ONLY h) Knowledge needed for developing products in your industry

1 2 9

SERVICE ONLY h) Knowledge needed for developing services in your industry

1 2 9

PRODUCT ONLY i) Knowledge needed for producing products in your industry

1 2 9

SERVICE ONLY i) Knowledge needed for delivery services in your industry

1 2 9

PRODUCT ONLY j) Unique knowledge that allows the business to offer a superior product

1 2 9

SERVICE ONLY j) Unique knowledge that allows the business to offer a superior service

1 2 9


55

8. Resources Advantages – Nascent Entrepreneur & Young Firm NASCENT TEXT IF PRODUCT: OK, now we’d like to understand some of your business strengths and weaknesses. Please compare yourself to other firms in your industry or businesses who you believe you will be in most direct competition with. If there is no direct competition, think about other businesses in the industry who are offering similar products. IF SERVICE: OK, now we would like to understand some of your business strengths and weaknesses. Please compare yourself to other firms in your industry or businesses who you believe you will be in most direct competition with. If there is no direct competition , think about other businesses in the industry who are offering similar services. YOUNG FIRM TEXT IF PRODUCT: OK, now we’d like to understand some of your business strengths and weaknesses. Please compare yourself to other firms in your industry or businesses that you are in direct competition with. If there is no direct competition, think about other businesses in the industry who are offering similar products IF SERVICE: OK, now we’d like to understand some of your business strengths and weaknesses. Please compare yourself to other firms in your industry or businesses that you are in direct competition with. If there is no direct competition, think about other businesses in the industry who are offering similar services. Q1 Could you now compare your business to other businesses in your industry. I will read a list of business (Q2022) capabilities and resources. For each one, please state if it represents an advantage, disadvantage or no

real advantage or disadvantage for your business READ ITEM FROM LIST. IF NOT VOLUNTEERED: Would that be a slight or major (dis)advantage?

Major Dis-advantage

Slight Dis-advantage

No Advantage or Dis-advantage

Slight Advantage Major Advantage

N/A

a. Expertise in marketing 1 2 3 4 5 9

b. Innovative marketers 1 2 3 4 5 9

c. Ability to provide excellent customer

service 1 2 3 4 5 9

d. Technical expertise 1 2 3 4 5 9

e. IF PRODUCT: Expertise regarding

development of products 1 2 3 4 5 9

e. IF SERVICE Expertise regarding

development of services 1 2 3 4 5 9

f. Competence that is difficult to copy 1 2 3 4 5 9

g. Purchase prices 1 2 3 4 5 9

h. Labour costs 1 2 3 4 5 9

i. Operating costs 1 2 3 4 5 9

j. Overhead costs 1 2 3 4 5 9

k. Freedom for managers to make and

implement fast decisions 1 2 3 4 5 9

l. Flexibility to react fast to new trends 1 2 3 4 5 9

m. Knowledge of the latest industry trends 1 2 3 4 5 9

n. Knowledge of the latest technological

trends 1 2 3 4 5 9

o. Knowledge of what the leading customers

are asking for 1 2 3 4 5 9


56

p. Ability to use the firm’s networks to

influence the firm’s environment 1 2 3 4 5 9

q. Ability to use the firm’s networks to

access useful knowledge 1 2 3 4 5 9

r. Ability to use personal networks for

business purposes 1 2 3 4 5 9

s. IF PRODUCT: Product uniqueness 1 2 3 4 5 9

s. IF SERVICE: Service uniqueness 1 2 3 4 5 9

t. IF PRODUCT: Superior product 1 2 3 4 5 9

t. IF SERVICE: Service quality 9

u. IF PRODUCT: Distinctive product

features 1 2 3 4 5 9

u. IF SERVICE: Distinctive service features 1 2 3 4 5 9

Q2 If you had to name just one advantage – some type of knowledge, skill or resource – that is the key to

your (Q347/ business success, what would it be? [Allow, but do not prompt, no advantage response] Q2014)

1. No Advantage

RECORD VERBATIM

IF CODE 1 (NO ADVANTAGE) AT Q2 GO TO Q4 Q3 Considering the advantage you have just identified, would you agree, disagree or neither agree nor (Q349 disagree with the following statements? READ ITEM FROM LIST. A-D) IF NOT VOLUNTEERED: Would that be strong or slight (dis)agreement?

Strongly Disagree

Slightly Disagree

Neither Agree nor Disagree

Slightly Agree

Strongly Agree

a. It would be rather easy for other

businesses to copy this advantage 1 2 3 4 5

b. It would take other businesses a

long time to copy this advantage [interviewer note: long time as 3 years]

1 2 3 4 5

c. It would be very costly for other

businesses to copy this advantage 1 2 3 4 5

d. Other businesses could easily

match this advantage; although perhaps in a different way

1 2 3 4 5

Q4 If you had to name just one disadvantage –a lack of some type of knowledge, skill or resource – that is

most (Q350/ likely to prevent your business success, what would it be? [Allow, but do not prompt, no disadvantage Q2004) response]

1. No Disadvantage

RECORD VERBATIM


57

IF CODE 1 (NO DISADVANTAGE) AT Q4 GO TO NEXT SECTION Q5 Considering the disadvantage you have just identified, would you agree, disagree or neither agree nor (Q352 disagree with the following statements? READ ITEM FROM LIST. IF NOT VOLUNTEERED: Would that A-D) be strong or slight (dis)agreement?

Strongly Disagree

Slightly Disagree

Neither Agree nor Disagree

Slightly Agree

Strongly Agree

a. It will be rather easy for us to

overcome this disadvantage 1 2 3 4 5

b. It will take us a long time to

overcome this disadvantage [interviewer note: long time as 3 years]

1 2 3 4 5

5c. It will be very costly for us to

overcome this disadvantage 1 2 3 4 5

5d. It will be fairly easy to work

around this disadvantage, although perhaps in a different way

1 2 3 4 5


58

9a. Sources Of Funding – Nascent Entrepreneur Q1 I am now going to read out a list of possible sources of funding. For each one, please indicate whether up (Q2017 until now this has been a source you have not used at all; a minor source of funding; or a major source of A-R) funding for getting your business started. By ‘major’ source we mean one that has provided at least 20%

of the money you have needed so far.

Not Used Minor Major

a. Founders’ personal savings 1 2 3

b. Founders’ personal credit cards 1 2 3

ASK Q1c if Q16 in ‘Team Resources’ > 1 or = -999:

c. Money from another business that the founders’ also own 1 2 3

d. Government grants 1 2 3

e. Delayed payment terms from suppliers 1 2 3

f. Advance payment from customers 1 2 3

If Q3 in ‘Gestation Activities 2’ = 2 or 5 AND Q23 in ‘Team Resources = 0, AUTO-GENERATE ‘1’ FOR Q1g-r THEN GO TO Q2. OTHERS CONTINUE Q1g.

g. Loans from the founders’ family members 1 2 3

h. Loans from the founders’ friends, employers or colleagues 1 2 3

i. Founders’ personal secured-bank loans. (secured = against collateral like house or other asset)

1 2 3

j. Founders’ other personal loans, overdraft or other credit facilities from a bank

1 2 3

k. Secured bank loans to the business itself 1 2 3

l. Other loans, overdraft or other credit facilities from a bank to the business itself

1 2 3

m. Loans from any other organisation to the business itself 1 2 3

IF QB9 in ‘Classifying the Business’ = 1 or 2, AUTO-GENERATE ‘1’ FOR Q1n-p THEN GO TO Q2. OTHERS CONTINUE TO Q1n.

n. Equity from founders’ family members 1 2 3

o.. Equity from founders’ friends, employers or colleagues 1 2 3

p. Equity from other private investors (‘business angels’) 1 2 3

IF ANY OF Q2a-e in ‘Team Resources’ =1, CONTINUE with Q1q. FOR OTHERS AUTO-GENERATE ‘1’ FOR Q1q-r THEN GO TO Q2.

q. Equity from Venture Capital firms 1 2 3

r. Equity from any other organisations 1 2 3

Q2 For the following possible sources of information and advice please indicate whether up until now this has (Q2019 been a source you have not used at all; a minor source; or a major source of information and advice to A-N) help start your business. By ‘major’ source we mean one that has had a clear impact on the direction

taken or the successful continuation of this start-up effort.


a. Founders’ family members 1 2 3

b. Founders’ friends, employers or colleagues 1 2 3

ASK 2c IF 1p, 1q or 1r > 1. OTHERS AUTO-GENERATE ‘1’ THEN GO TO 2d.

c. External investors like venture capitalists or ‘business angels’

1 2 3

d. Board members other than those categories already mentioned 1 2 3

e. Bank staff member 1 2 3

f. Potential customers (or actual) 1 2 3

g. Potential suppliers (or actual) 1 2 3

h. Chartered accountant 1 2 3

i. Lawyer 1 2 3

j. Consultant at government agency or not-for-profit organisation

k. Independent tax consultant 1 2 3

l. Other commercial consultant 1 2 3

m. Internet websites or communities 1 2 3

n. Other business media (print & TV/radio) 1 2 3


59

9b. Sources Of Funding – Young Firms Q1 I am now going to read out a list of possible sources of funding. For each one, please indicate whether (Q2017 during the last 12 months this has been a source you have not used at all; a minor source of funding; or a A-R, major source of funding for your business. By ‘major’ source we mean one that has provided at least 20%

of the money you have needed during the last 12 months.


a. Owners’ personal savings 1 2 3

b. Owners’ personal credit cards 1 2 3

ASK 1c if Q16 in ‘Team Resources’ >1 or = -999:

c. Money from another business that the owners’ also own 1 2 3

d. Government grants 1 2 3

e. Delayed payment terms from suppliers 1 2 3

f. Advance payment from customers 1 2 3

g. New loans from the owners’ family members 1 2 3

h. New loans from the owners’ friends, employers or colleagues 1 2 3

i. New secured bank loans to owners personally. (secured = against collateral like house or other asset)

1 2 3

j. Other new personal loans, overdraft or other credit facilities from a bank

1 2 3

k. New secured bank loans to the business itself 1 2 3

l. Other new loans, overdraft or other credit facilities from a bank to the business itself

1 2 3

m. New loans from any other organisation to the business itself 1 2 3

IF QB9 in ‘Classifying the Business’ = 1 or 2, AUTO-GENERATE ‘1’ FOR Q1n-p THEN GO TO Q2. OTHERS CONTINUE Q1n.

n. New equity from owners’ family members 1 2 3

o.. New equity from owners’ friends, employers or colleagues 1 2 3

p. New equity from other private investors (‘business angels’) 1 2 3

IF ANY OF Q2a-e in ‘Team Resources’ =1, COTINUE with Q1q. FOR OTHERS AUTO-GENERATE ‘1’ FOR Q1q-r THEN GO TO Q2.

q. New equity from Venture Capital firms 1 2 3

r. New equity from any other organisations 1 2 3

Q2 For the following possible sources of information and advice please indicate whether during the last 12 (Q2019 months this has been a source you have not used at all; a minor source; or a major source of information A-N) and advice to help start your business. By ‘major’ source we mean one that has had a clear impact on the direction taken or the level of success of this business.


a. Owners’ family members 1 2 3

b. Owners’ friends, employers or colleagues 1 2 3

c. External investors like venture capitalists or ‘business angels’ 1 2 3

d. Board members other than those categories already mentioned

1 2 3

e. Bank staff member 1 2 3

f. Customers 1 2 3

g Suppliers 1 2 3

h. Chartered accountant 1 2 3

i. Lawyer 1 2 3

j. Consultant at government agency or not-for-profit organisation

k. Independent tax consultant 1 2 3

l. Other commercial consultant 1 2 3

m. Internet websites or communities 1 2 3

n. Other business media (print & TV/radio) 1 2 3


60

10. Internationalisation – Nascent Entrepreneurs & Young Firms READ: I will now ask a few questions about international experiences and activities, if any.

Q5 IF SOLO: After the age of 18 but before starting this firm, how many years, if any, have you spent in (Q2025)countries other than Australia?

IF PARTNER: After the age of 18 but before starting this firm, how many years, if any, have either you or your partner spent in countries other than Australia? Please add up the total number of years for both partners. IF TEAM: After the age of 18 but before starting this firm, approximately how many years, if any, have you or other owners spent in countries other than Australia? Please add up the total number of years for all owners.

None 0

One year or less 1

2 years – 50 years 2-50

More than 50 years (specify) 51

Don’t know 98

Refused 99

ASK IF Q1 IS NOT Code ‘0’. Q6 IF SOLO: After the age of 18 but before starting this firm, in how many countries outside Australia have (Q365) you worked or studied for a period of three months or more?

IF PARTNER: After the age of 18 but before starting this firm, in how many countries outside Australia have you or your partner worked or studied for a period of three months or more? Please add up the total number for both partners. IF TEAM: After the age of 18 but before starting this firm, in how many countries outside Australia have you or any other owner worked or studied for a period of three months or more? Please add up the total number for all owners.

None 0

One country 1

2 countries – 50 countries 2-50

More than 50 countries (specify)

51

Don’t know 98

Refused 99

Q7 To what extent do your Australian-based competitors tend to operate in international markets? Would you (Q366) say to a large extent; to some extent, or not at all?

To a large extent To some extent Not at all Don’t know Refused

1 2 3 8 9

Q8 How attractive are opportunities for your business in international markets compared to the Australian (Q367) market? Would you say more attractive; about the same, or less attractive?

More attractive About the same Less attractive Don’t know Refused

1 2 3 8 9


61

Q1 Please indicate which of the following international activities your business is involved in, yes or no? (Q360 READ OUT A-K)

a. Exchange of ideas or information with individual colleagues abroad who you meet in person, for example at trade fairs?

1 2

b. Exchange of ideas or information with individual colleagues abroad via phone, email or Internet?

1 2

c. Collection of written or electronic information from abroad about developments relevant to your industry?

1 2

ASK ALL YFs. ASK NEs only if in “Gestation Activities 1” Q15 = 1 or Q17 =1 (or both)

d. Imports of goods or services from abroad. 1 2

ASK ALL YFs. ASK NEs only if in “Gestation Activities 2” Q13 = 1 . OTHER NEs GO TO Q3.

e. Selling more than 10% of your total sales to tourists or other temporary visitors to Australia?

1 2

f. Selling any products or services to customers in other countries, either directly or indirectly?

1 2

ASK G-K ONLY IF Q1f = 1. OTHERS GO TO Q3. IF PRODUCT: g. Export of products through an Australian-based intermediary like

an agent or distributor? IF SERVICE: g. Export of services through an Australian-based intermediary like

an agent or distributor?

1 2

IF PRODUCT: h. Export of products through a foreign-based intermediary like an

agent or distributor? IF SERVICE: h. Export of services through a foreign-based intermediary like an

agent or distributor?

1 2

IF PRODUCT: i. Export of products through your own foreign office? IF SERVICE: i. Export by selling services produced in Australia directly to

customers located abroad? 1 2

IF PRODUCT: j. Export of products directly to customers abroad? IF SERVICE: j. Selling directly to customers abroad by producing and selling

services in their countries? 1 2

IF PRODUCT: k. Indirect exports because your products form part of what your

Australian-based customers sell abroad? IF SERVICE: k. Indirect exports because your services form part of what your

Australian-based clients sell abroad?

1 2

ASK ONLY IF Q1f = 1. AUTO-GENERATE ‘0’ FOR CASES WHO HAVE SKIPPED TO Q3. Q2 During the past 12 months, approximately what percentage of sales came from customers located in (Q2020)countries other than Australia? INTERVIEWER NOTE: Tourists visiting Australia do NOT count

RECORD % ______ %

Don’t know 998

Refused 999

ASK ALL Q3 Five years from now, approximately what percentage of sales will come from customers located in (Q362) countries other than Australia? INTERVIEWER NOTE: Tourists visiting Australia do NOT count.

RECORD % ______ %

Don’t know 998

Refused 999


62

Q4 ASK IF Q1f is NOT = 1: How easy or difficult do you think it would be for your business to start selling to (Q363) customers in other countries? Would you say very difficult, somewhat difficult, somewhat easy, or very

easy? ASK IF Q1f = 1: How easy or difficult do you think it would be for your business to start selling to customers in additional countries abroad? Would you say very difficult, somewhat difficult, somewhat easy, or very easy?

Very difficult Somewhat difficult Somewhat easy Very easy Don’t know Refused

1 2 3 4 8 9


63

11. Bricolage – Nascent Entrepreneur & Young Firms

READ: The following statements are about how your business uses various kinds of resources to deal with new challenges. By resources we mean things like materials, equipment, people or anything else that can be used to get a job done. By challenges we mean both new problems and new opportunities. When I say ‘we’ or ‘our’ I mean you personally or anybody else acting on behalf of the business. I want you to respond on a scale from 1 to 5, where 1 means ‘never’ and 5 means ‘always’. Q1 OK, does the following represent how you never, rarely, sometimes, often, or always go about doing (Q370 things for your start-up? Firstly, … READ STATEMENT A-I)

Never Rarely

Sometimes Often Always DK Refused

We are confident of our ability to find workable solutions to new challenges by using our existing resources

1 2 3 4 5 9 8

We gladly take on a broader range of challenges than others with our resources would be able to.

1 2 3 4 5 9 8

We use any existing resource that seems useful to responding to a new problem or opportunity

1 2 3 4 5 9 8

We deal with new challenges by applying a combination of our existing resources and other resources inexpensively available to us

1 2 3 4 5 9 8

When dealing with new problems or opportunities we take action by assuming that we will find a workable solution

1 2 3 4 5 9 8

By combining our existing resources, we take on a surprising variety of new challenges

1 2 3 4 5 9 8

When we face new challenges we put together workable solutions from our existing resources

1 2 3 4 5 9 8

We combine resources to accomplish new challenges that the resources weren’t originally intended to accomplish

1 2 3 4 5 9 8

To deal with new challenges we acquire resources at low or no cost and combine them with what we already have

1 2 3 4 5 9 8


64

12. FUTURE EXPECTATIONS – Nascent Entrepreneur & Young Firm YOUNG FIRM TEXT: I will now ask a few more questions about past and future performance of this business. Of course, the future cannot be known with certainty, so it is your best guesses we are after. ASK IF YOUNG FIRM 0a. SOLO: For each of the following business outcomes I want to know if you think that your result so far has

been better, worse or equal to what you expected when you started this business (In case reply is better or worse: xx or much xx).

0a. PARTNER For each of the following business outcomes I want to know if you and your partner think that your result so far has been better, worse or equal to what you expected when you started this business (In case reply is better or worse: xx or much xx) (If needed – if other owners’ opinion differ from respondent or are unknown, record respondents opinion).

0a. TEAM: For each of the following business outcomes I want to know if you and the other owners think that your result so far has been better, worse or equal to what you expected when you started this business (In case reply is better or worse: xx or much xx) (If needed – if other owners’ opinion differ from respondent or are unknown, record respondents opinion)

(Q518 A-D)

Much

worse Worse As

expected Better Much

better

(a) Net profit? (i e sales minus operational costs)

1 2 3 4 5

b) Development of sales? (i.e. change or growth in the volume of sales)

1 2 3 4 5

c) Cash flow (i.e. inflow vs. outflow of money) 1 2 3 4 5

(d) Growth of the company's value? 1 2 3 4 5

ASK IF YOUNG FIRM 0b. SOLO: For each of these outcomes I also want to know if you think that your result since you started this

business has been better, worse or equal to that of other companies in your industry. (In case reply is better or worse: xx or much xx)

0b. PARTNER: For each of these outcomes I also want to know if you and your partner think that your result

since you started this business has been better, worse or equal to that of other companies in your industry. (In case reply is better or worse: xx or much xx)

0b. TEAM: For each of these outcomes I also want to know if you and other owners think that your result since

you started this business has been better, worse or equal to that of other companies in your industry. (In case reply is better or worse: xx or much xx)

(Q520 A-D)

Much worse

Worse Neutral Better Much better

(a) Net profit? (i e sales minus operational costs)

1 2 3 4 5

b) Development of sales? (i.e. change or growth in the volume of sales)

1 2 3 4 5

c) Cash flow (i.e. inflow vs. outflow of money) 1 2 3 4 5

(d) Growth of the company's value? 1 2 3 4 5

NASCENT TEXT: I will now ask a few more questions about the future of this business. Of course, the future cannot be known with certainty, so it is your best guesses we are after.


65

Q1 NASCENT TEXT: On a scale of zero to one hundred, what is the likelihood that this business will be (Q372) operating five years from now, regardless of who owns and operates the firm?

YOUNG FIRM TEXT: On a scale of zero to one hundred, what is the likelihood that this business will still be operating five years from now, regardless of who owns and operates the firm?

Enter response between 0 and 100

Don’t know 999

Q2 NASCENT TEXT: In this research we are talking to hundreds of early stage start-ups. If we take one (Q373) hundred of them at random, how many do you think will still be operating five years from now, regardless

of who own and operate them? YOUNG FIRM TEXT: In this research we are talking to hundreds of young businesses. If we take one hundred of them at random, how many do you think will be still operating five years from now, regardless of who own and operate them?

Enter response between 0 and 100

Don’t know 999

Q4 NASCENT TEXT: Once this new business is operational, what is the expected total revenue or income in (Q2036) the first twelve months of operation?

YOUNG FIRM TEXT: What is the expected total revenue or income for this business in the next twelve months of operation? INTERVIEWER NOTE: IF PROBLEM WITH ‘OPERATIONAL’ TRY ‘STEADILY UP AND RUNNING’.

Enter full dollar amount, all digits (do not shorten to thousands or millions)

Don’t know 9999998

Refused 9999999

Q5 NASCENT TEXT: What is the expected annual revenue when the business is in its fifth year of operation? (Q2037)YOUNG FIRM TEXT: What is the expected annual revenue five years from now?

Enter full dollar amount, all digits (do not shorten to thousands or millions)


Refused 9999999

NASCENT ONLY Q6 During the first year of operation, approximately how many managers or employees, including exclusive (Q2001) subcontractors, will be working for this new business, not counting owners?

Enter number of people (in none enter zero)


Refused 9999999

Q7 NASCENT TEXT: How many managers or employees, including exclusive subcontractors will be working (Q2003) for this business when it is five years old, not counting the owners?

YOUNG FIRM TEXT: How many managers or employees, including exclusive subcontractors will be working for this business five years from now, not counting the owners?

Enter number of people (in none enter zero)


Refused 9999999


66

Q8 NASCENT TEXT: Within the first two to three years of operation, what percent of your revenue do you (Q380 expect from customers who are…. READ OUT A-D) YOUNG FIRM TEXT: Approximately what percent of your revenue currently comes from customers who

are ... INTERVIEWER NOTE: MUST ADD TO 100%

A Local –- that is, located within 30 kilometres of the new business?

______% DK 999

B ASK IF Q8A <100% Located more than 30 but less than 150 kilometres away?

______% DK 999

C ASK IF Q8A+Q8B <100% Located more than 150 kilometres away but within Australia?

______% DK 999

D ASK IF Q8A+Q8B+Q8C <100% From customers located abroad? Interviewer note: abroad does not include tourists

______% DK 999

TOTAL 100%

Q9 If things develop the way you would like them to; five years from now what would be the approximate (Q381 percent of your revenue that came from customers who are ... A-D) INTERVIEWER NOTE: MUST ADD TO 100%

A Local –- that is, located within 30 kilometres of the new business?

______% DK 999

B ASK IF Q8A <100% Located more than 30 but less than 150 kilometres away?

______% DK 999

C ASK IF Q8A+Q8B <100% Located more than 150 kilometres away but within Australia?

______% DK 999

D ASK IF Q8A+Q8B+Q8C <100% From customers located abroad? Interviewer note: abroad does not include tourists

______% DK 999

TOTAL 100%


67

13. Wrap Up! – Nascent Entrepreneur & Young Firm

READ: We have now come to the end of the interview. Q4. By and large, were the questions easy or difficult to understand? (Q395)

1 Easy

2 Difficult

3 Undecided

Q5 By and large, was participating in this survey boring or engaging? (Q396)

1 Boring

2 Engaging

3 Undecided

Q6-11 As one of the rewards for participating in this research you will be placed in a draw for a $5,000 prize. For (Q397) this purpose I need some contact details. CHECK SPELLINGS

INTERVIEWER NOTE: We will not use contact info for purposes other than what they have agreed to

Record First Name:

Record Last Name

Record Street Address & Postcode

Would the phone number we used for this interview be a good way to reach you in case you’re our lucky

prize winner?

1 Yes (AUTO FILL – include area code)

2 No

3 Undecided

Can you give us another phone number that would be better for reaching you?

RECORD PHONE NUMBER (INCL. AREA CODE, IF APPLICABLE).

Can you give us a mobile or other alternative number as well, in case for any reason we cannot reach you

on the other number(s)?

RECORD MOBILE NUMBER (INCL. AREA CODE, IF APPLICABLE).

Q12 Like I said in the beginning, we will create a website where participants in this survey can ask questions

and advice from others who are starting or running new businesses, participate in discussion forums and get access to a range of useful resources. Are you interested in this opportunity?

1 Yes

2 No


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ASK IF Q11 IS YES Q13 In order to give you access, I need to email you a username and password. Do you have an email

address where I can send this information? INTERVIEWER NOTE: IF NEEDED: ‘WE WILL NOT USE THIS ADDRESS TO SEND YOU ANYTHING YOU HAVE NOT AGREED TO, AND WE WON’T GIVE OUT YOUR ADDRESS TO ANYONE ELSE.’

INTERVIEWER NOTE: IF GENERAL EMAIL ADDRESS IS GIVEN (eg. sales @qut.edu.au) ASK FOR INDIVIDUAL OR DIRECT/PERSONAL ADRESS.

1. No

2. Yes. RECORD EMAIL ADDRESS

3 Yes, but refuses to share

Q14 Before we close, there are some more things about your business that it would be very useful to know.

We would very much appreciate your participation in an online survey at a later date. Would you be willing to participate?

1 Yes

2 No

READ IF EMAIL ADDRESS HAS ALREADY BEEN OBTAINED: Then we will use your email address to send out the link to the online survey as well. Is that ok? [No need to record response] ASK IF EMAIL ADDRESS HAS NOT BEEN OBTAINED Q15 Do you have an email address where I can send the link to the online survey? INTERVIEWER NOTE: IF NEEDED: ‘WE WILL NOT USE THIS ADDRESS TO SEND YOU ANYTHING YOU HAVE NOT AGREED TO, AND WE WON’T GIVE OUT YOUR ADDRESS TO ANYONE ELSE.’

1. No

2. Yes. RECORD EMAIL ADDRESS

3 Yes, but refuses to share

Q16 NASCENT TEXT: Finally, we are planning a follow-up survey 12 months from now in order to follow the

development of the business start-ups we have interviewed. It will not be as long as this one. Can we contact you again in 12 months time? YOUNG FIRM TEXT: Finally, we are planning a follow-up survey 12 months from now in order to follow the development of the businesses we have interviewed. It will not be as long as this one. Can we contact you again in 12 months time? INTERVIEWER NOTE: If No, try to persuade: this is not a firm commitment…they now agree only that we may contact them again; they can always say no when that day comes—but who knows, perhaps they feel differently about it then (e.g. they may want to tell us about their spectacular success!) Another cash prize will be offered at the time for participating in the research

1 Yes

2 No

ASK IF Q17 = YES Q17. Would the phone numbers we recorded previously be good ways to reach you for the follow-up in 12 months?

1 Yes

2 No, not sure

ASK IF Q18 IS NO Q18 Is there any other number (mobile or landline) we could use to reach you either directly or indirectly –

perhaps a number to another person who would know about your whereabouts?

RECORD FULL ALTERNATIVE NUMBER (INCL. AREA CODE, IF APPLICABLE).


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Once again thank you so much for sharing your time and thoughts with us. It is very valuable for our research and we hope you found some value in this exercise as well. Goodbye!

CAUSEE Questionnaire Wave 1 Contents - QUT ePrints · CAUSEE – Questionnaire – Wave 1 Contents...

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