Welcome to the ASTP Proton Knowledge Transfer Survey REFERENCE YEAR(S) Please provide us with data relevant for the 12 month period that is used within your Knowledge Transfer Office or Public Research Organization for financial reporting. If this period does not coincide with a calendar year (e.g.: your financial year starts on May 1st ), then please provide us with data for the 12 month period that ENDS in the year for which data are requested. In the example above: Financial Year 2012 (FY2012) would be the period from May 1, 2011 April 30, 2012). This survey collects data for FY2012 and FY2013 If your KTO is the major service provider for more than one Public Research Organization, please provide aggregate data for all PROs combined where possible. Page 1
Demographics and publication consent 1. Please provide demographic information on your Knowledge Transfer Office (KTO) or if the KTO is not a separate legal entity your Public Research Organization (PRO). Name of contact person for the survey Name of KTO or if not independent the Public Research Organization of which the KTO is a part: Address 1: Address 2: City/Town: State/Province: ZIP/Postal Code: Country: Email Address contact person: Phone Number contact person: 2. Please tick the box below if you are happy for us to publish the data submitted by you under this survey without anonymization. nmlkj Yes, I have no objection for the data provided hereunder to be published in a non anonymized way If you haven't ticked the box above, we will assume you do not give permission to publish the data in a non anonymized way. Your data will then only be presented in aggregate fashion and will not be traceable to your organization Page 2
KTO clients and age 3. Please give the total number of Public Research Organizations (PROs) for which your Knowledge Transfer Office (KTO) is the major provider of Knowledge Transfer Services: 4. The number of PROs that are served by your KTO in FY2012 and FY2013 by type General University Technical University (if separate from general university) Hospital Not for profit Research Institute Research Park or Incubator Other 5. In what year was your KTO established? Page 3
KTO Personnel 6. What was the total number of KTO staff in full time equivalents (FTEs): At the end of Financial Year 2012 At the end of Financial Year 2013 For Questions 7 and 8 below, the following definitions are used: DIRECTOR: head of the Knowledge Transfer Office, carries overall responsibility for Knowledge Transfer activities within the organisation, incl. budget and personnel. ASSOCIATE DIRECTOR: responsible for part(s) of KT operations, has partial signing authority, reports directly to the Director, typically supervises other KT staff within his/her remit. BUSINESS DEVELOPMENT MANAGER: focuses on developing stronger ties with industry, investors and government. Possibly acts as an account manager for large industry and other stakeholders. LEGAL COUNSEL: provides legal advice on contractual arrangements and is responsible for drafting research and commercial agreements, Reports to an Associate Director or in smaller offices directly to the Director. INTELLECTUAL PROPERTY MANAGER: manages the patent portfolio, is potentially also responsible for negotiation of IP terms in research agreements. Supports the Associate Director or the Licensing Manager on IPrelated aspects of commercial opportunities; communicates with patent firms on drafting and prosecution of patent applications. LICENSING MANAGER: responsible for case management, evaluation of opportunities, market research, marketing and licensing of technologies. Reports to an Associate Director or in smaller offices directly to the Director. FINANCE MANAGER: responsible for financial functions in the office, including invoicing of license revenues, payment of service provider costs and keeping track of budgets; Reports to an Associate Director or to the Director. ADMINISTRATIVE SUPPORT STAFF / PARALEGAL: supports the knowledge transfer activities within the office such as secretarial work, database and file management, office management, processing of (financial) paperwork; has no supervisory tasks. Reports to any of the above positions. Page 4
7. Within the total number provided in question 6 for FY2012, please provide a number for each of the following categories (expressed in FTEs). Use fractions if needed. Director Associate Director Business Development Manager Legal Counsel Intellectual Property Manager/Patent attorney Licensing Manager Finance Manager Administrative support staff/paralegal Other salaried staff 8. Within the total number provided in question 6 for FY2013, please provide a number for each of the following categories (expressed in FTEs). Use fractions if needed. Director Associate Director Business Development Manager Legal Counsel Intellectual Property Manager/Patent attorney Licensing Manager Finance Manager Administrative support staff/paralegal Other salaried staff Page 5
Expenditures and funding sources for the KTO 9. Please give the total gross expenditures of the KTO in the reference year. [Include outsourcing costs, patent costs, salaries and other costs related to the staff reported under question 6, please convert to Euro ( ) if in another currency] FInancial Year 2012 ( ) Financial Year 2013 ( ) 10. What percentage of the KTO s expenditures is covered by the following financial sources: PRO s direct funds (including personnel and ordinary expenses) Self financing from research agreements (revenues from research and % consultancy contracts, collaborative research, technical services) Self financing from commercial revenues (revenues from licensing activities, patent assignments, liquidation of equity etc.) Government grants (only include if specific for KTO activities) Reimbursement of KTO expenses by licensees Other (please specify below) 11. If a percentage of the KTO expenditures is covered by "Other" sources, please specify these sources here: 5 6 12. Does your KTO sometimes outsource one or more of the following tasks? Yes/No Evaluating the commercial potential of invention disclosures 6 Drafting and prosecuting patent applications or applications/registrations for other Intellectual Property Rights Drafting or reviewing Research Contracts (e.g. MTAs, Collaborative Research Agreements, Contract Research Agreements etc.) Drafting or reviewing Commercialisation Agreements (e.g. Options, licenses, assignment/revenue share agreements etc.) 6 6 6 Marketing or advertising your Licensing Opportunities 6 Page 6
13. Who would normally own the patent rights to a technical invention created within the PRO(s) that your KTO provides services for (either by law or through internal regulations)? nmlkj nmlkj The Institution The Inventor 14. Please indicate what activities your KTO is engaged in (as THE major player in such activity within your PRO(s)): Assistance/advice in writing research grant applications (Research) Project management (e.g. coordination of EU projects) Negotiating Research related Contracts (collaboration agreement, MTAs etc) Evaluation of Invention Disclosures Management of IP portfolio including patent applications Marketing of knowledge and technology offers for commercialisation Licensing of IP rights and knowhow Active involvement in spin off development/business planning Management of equity stakes in spin off companies Management of proof of concept/technology incubation funds or projects Management of incubator facilities Other (please specify) 5 6 Page 7
Quantification of Research Effort 15. Please give the aggregate Research Expenditures for all PRO(s) for which your KTO is the major provider of Knowledge Transfer Services. [Include share of academic costs dedicated to research (e.g. salary costs permanent academic staff, costs of administrative support, capital expenditures on new equipment. Exclude cost of new buildings or land] Aggregate Research Expenditures in FY2012 ( ) Aggregate Research Expenditures in FY2013 ( ) 16. What percentage of the total research expenditure of your PRO(s) in FY2012 was covered by the following financial sources: Industry Government and government funded granting bodies/agencies (except EU) Donations/Charities EU sources (including, but not limited to framework programs) Other 17. If part of the research expenditure for your PRO(s) reported under the previous question is covered by 'Other' sources, please specify the source: 5 6 Page 8
Quantification of Research Effort (2) 18. What percentage of the total research expenditure of your PRO(s) in FY2013 was covered by the following financial sources: Industry Government and government funded granting bodies/agencies (except EU) Donations/Charities EU sources (including, but not limited to framework programs) Other 19. If part of the research expenditure for your PRO(s) reported under the previous question is covered by 'Other' sources, please specify the source: 5 6 20. What was the (combined) research effort of your PRO(s) in the reference year, expressed in Full Time Equivalents (FTEs)? [Include time spent by academic staff on research (also include FTEs for post docs, PhD students, research fellows, technicians and the like). Exclude time spent by staff on teaching] Financial Year 2012 (FTE) Financial Year 2013 (FTE) Page 9
Research and Consultancy Agreements with Industry 21. Please provide the number of agreements with industry that were concluded in FY2012: Number of new Contract Research Agreements in FY2012 Number of new Collaborative Research agreements in FY2012 Number of new Consultancy Agreements in FY2012 22. Please provide the aggregate value (in FY2012 + future years) of agreements with industry that were concluded in FY2012: Aggregate value of new Contract Research Agreements in FY2012 ( ) Aggregate value of new Collaborative Research agreements in FY2012 ( ) Aggregate value of new Consultancy Agreements in FY2012 ( ) Income from industry agreements that were executed in earlier years should NOT be counted. 23. Please provide the number of agreements with industry that were concluded in FY2013: Number of new Contract Research Agreements in FY2013 Number of new Collaborative Research agreements in FY2013 Number of new Consultancy Agreements in FY2013 24. Please provide the aggregate value (in FY2013 + future years) of agreements with industry that were concluded in FY2013: Aggregate value of new Contract Research Agreements in FY2013 ( ) Aggregate value of new Collaborative Research agreements in FY2013 ( ) Aggregate value of new Consultancy Agreements in FY2013 ( ) Income from industry agreements that were executed in earlier years should NOT be counted. 25. Please give the number of different companies with which your PRO(s) has executed the agreements given under questions 21 and 23 in FY2012 in FY2013 Page 10
Patent applications and grants 26. What is the number of invention disclosures received in the Reference Year? [Descriptions of inventions or discoveries that are evaluated by the KTO staff or other technology experts to assess their commercial potential] Invention disclosures in FY2012 Invention disclosures in FY2013 27. Please give the total number of priority patent applications filed in the Reference Year. [Priority patent applications constitute the first patent application for a technically unique invention. If priority patent applications relating to the same technically unique invention are submitted simultaneously in multiple patent offices, or are submitted after the first priority patent application within the priority year, only a single priority application should be counted] The number of priority patent applications filed in FY2012 The number of priority patent applications filed in FY2013 28. How many patents were first granted in the Reference Year? [The first grant in any territory of a patent for a technically unique invention. Count a patent grant for the same invention in two or more countries as one technically unique patent. If a first patent grant for a technically unique invention has been counted in a previous year, no further patent grants for such invention should be reported] The number of patents granted in FY2012 The number of patents granted in FY2013 29. What is the total number of patent families in the patent portfolio of your KTO that are active at the end of the Reference Year? [A patent family is a collection of patent applications and granted patents that relates to a technicallyunique invention] Number of active patent families in the patent portfolio at the end of FY2012 Number of active patent families in the patent portfolio at the end of FY2013 Page 11
30. Please give the percentage of active patent families in the patent portfolio (see previous question) that is licensed or optioned. [include both patent applications and granted patents for which as of the end of the reference year an option agreement or a license agreement has been executed) % of active patent families licensed or optioned per the end of FY2012 % of active patent families licensed or optioned per the end of FY2013 Page 12
Licenses, options and assignments involving IP 31. What is the total number of IP agreements executed in the Reference Year? [Please include all licences, options and assignments (LOAs) for all types of IP (copyright, know how, patents, trademarks, etc.). Count multiple (identical) licences with a value of less than 500 Euros each as one licence. A licence grants the right to use IP in a defined field of use or territory or for a particular period of time. An option grants the potential licensee a time period to evaluate the technology and negotiate the terms of a licence. An assignment transfers all or part of the ownership of IP to a third party] The number of IP agreements executed in FY2012 The number of IP agreements executed in FY2013 32. Out of all IP agreements executed in FY2012, how many were: Licenses (not including MTAs for research materials) Options Assignments Material Transfer Agreements for licensing the use of research materials 33. Out of all IP agreements executed in FY2013, how many were: Licenses (not including MTAs for research materials) Options Assignments Material Transfer Agreements for licensing the use of research materials 34. Of all the IP agreements reported for FY2012 above, what number involved: Open source licenses for software Closed source licenses for software 35. Of all the IP agreements reported for FY2013 above, what number involved: Open source licenses for software Closed source licenses for software Page 13
36. Approximately, what percentage of all licenses or options were granted as worldwide, exclusive for all fields of use in the Reference Year? The percentage of exclusive IP agreements executed in FY2012 The percentage of exclusive IP agreements executed in FY2013 Page 14
Commercial Revenues 37. What are the gross revenues from commercialisation of IP earned in the Reference Year? [Gross revenues from the commercialisation of all types of know how and IP (e.g. patents, copyright, designs, trademarks, software, trade secrets etc.) before distribution within the PRO or to inventors. Include license issue fees, annual fees, option fees, milestone payments, running royalties, change of control payments, dividends and proceeds from liquidation events. Exclude license income forwarded to third parties other than individual inventors] Gross commercial revenues in FY2012 ( ) Gross commercial revenues in FY2013 ( ) 38. Of the gross commercial revenues reported in Question 37 for FY2012, approximately what percentage was generated by the following: Patents Software Copyright (excluding software) Trade secret/know how Trademark Breeders' rights Maskworks for semiconductors Research materials Database rights Other Total must equal 100% Page 15
39. Of the gross commercial revenues reported in Question 37 for FY2013, approximately what percentage was generated by the following: Patents Software Copyright (excluding software) Trade secret/know how Trademarks Breeders' rights Maskworks for semiconductors Research materials Database rights Other Total must equal 100% Page 16
Spin offs and start ups 40. How many spin offs were established in the Reference Year? [A spin off is a company expressly established to develop or exploit IP created by a Public Research Organization and with a formal contractual relationship for the use of this IP. Include, but do not limit to, spin offs established by PRO staff. Exclude start ups that have no formal agreement for commercially developing IP or know how created by the institution] Spin offs established in FY2012 Spin offs established in FY2013 41. How many start ups were established in the Reference Year? [A start up is a newly registered company that is not directly involved with the exploitation of intellectual property generated within a Public Research Organization served by the KTO] Start ups established in FY2012 Start ups established in FY2013 42. What is the total investment from private sources in all spin offs and/or start ups associated with your KTO in the Reference Year? [Include investments in companies that were founded in earlier years. Include equity funding or loans from professional investors, financial institutions, business angels or company management; exclude equity funding, grants/donations or loans from the PRO or government agencies] Amount of private investment in spin offs and start ups in FY2012 ( ) Amount of private investment in spin offs and start ups in FY2013 ( ) Page 17
On behalf of the ASTP Proton Survey Committee: Thank you very much for participating in this survey. Massimiliano Granieri, Chair of the Survey Committee Vice President ASTP Proton Page 18