Survey of Intellectual Property Commercialization in the Higher Education Sector, 2008

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Business Special Surveys and Technology Statistics Division

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Collected under the authority of the Statistics Act, Revised Statutes of Canada, 1985, Chapter S19.
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Purpose

The information you provide is essential to assure the availability of pertinent information to monitor science and technology related activities and to support the development of science and technology policy.

Confidentiality

While participation in this survey is voluntary, your cooperation is important to ensure that the information collected is as accurate and as comprehensive as possible. Statistics Canada is prohibited by law from publishing or releasing, in any manner, any statistics that would divulge information obtained from this survey relating to any identifiable business, institution or person, without the previous written consent of that business, institution or person. The data reported on this questionnaire will be treated in strict confidence, used for statistical purposes and published in aggregated form only. The confidentiality provisions of the Statistics Act are not affected by either the Access to Information Act or by any other legislation.

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Statistics Canada
Operations and Integration Division
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Survey Contact

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Waiver

I hereby authorize Statistics Canada to publish any or all portions of the data supplied on this questionnaire by this institution.

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  • Institution

1. General Information

1.1 Please report your fiscal or other business year ending in 2008.
This report covers From (DD-MM-YYYY) To: (DD-MM-2008)

1.2 a) Does this institution engage in intellectual property management (identification, protection, promotion
or commercialization)?

  • Yes
  • No (Go to question 1.2 c)

1.2 b) List the name of all affiliated institutions included in this report.

  • Name of Institution (only list affiliated universities or teaching hospitals)
  • Intellectual property management (Yes/ No)
  • Indicate relationship with main institution

1.2 c) If there is no intellectual property management at the institution, please provide an explanation.

  • Intellectual property managed through an affiliated university
  • Other (please specify)

1.3 Intellectual property management infrastructure, expenditures and personnel

1.3 a) Does your institution have one or more central offices engage in intellectual property management (identification, protection, promotion or commercialization)?

  • Yes
  • No ( Go to question 1.3.f )

1.3. b) Please note the names of all offices within the institution that are engaged, wholly or in part, in intellectual property management. For each office, indicate the resources dedicated to intellectual property management. Expenditures should be estimated to correspond to the portion of the office dedicated to intellectual property management.  Full-time equivalents (FTEs) is an estimate of the number of person-years. Patent and regular legal expenditures include those for patent filings, patent searches, registration of copyright, etc. Litigation expenditures are those related to disputes over patents/other intellectual property and include settlements.

  • Name of office
  • Employees engaged in intellectual property management (FTEs)
  • Operational expenditures for IP management
    • Salaries and benefits (corresponding to FTEs) (thousands of dollars)
    • Patent and regular legal expenditures (thousands of dollars)
    • Litigation expenditures (thousands of dollars)
    • Other operational expenditures (thousands of dollars)
    • Total operational expenditures for intellectual property  management  (thousands of dollars)

1.3 c) In the reference year, what percentage of your institution’s total operational expenditures for intellectual property management were from each of the following sources?

  1. Institutional base funding %
  2. Institutional one-time allocations %
  3. Intellectual property commercialization revenues (e.g., licensing, cashed-in equity) %
  4. External sources (please specify) %
  5. Total =100%

1.3 d) For each of your institution’s employees that were engaged in technology transfer at the end of the reference year, please list the highest university degree obtained and the number of years of technology transfer experience. (Use a separate sheet of paper if necessary.)

  • Employee
  • Highest university degree obtained
    • Bachelors
    • Masters
    • Doctorate
    • Other: please specify
  • Years of technology transfer experience

1.3 e) During the reference year, which of the following types of services did the institution directly use for intellectual property matters? (Check all that apply.)

  • in-house legal counsel
  • outside legal counsel
  • in-house patent agent
  • outside patent agent
  • none of the above

1.3 f) During the reference year, did the institution provide space to start-ups?

  • No
  • Yes ( Number of start-ups involved)

1.4 a) Does your institution have a policy on ownership of intellectual property?

  • Yes
  • No (Go to question 1.5)

1.4 b) According to this policy, who owns the intellectual property created at the institution (institution owns, researcher owns, joint ownership (institution(s) and researcher), other please specify) ? (Check one)

  • Inventions
  • Intellectual property protected by copyright;
    • Computer software or databases
    • Educational materials
    • Other materials
  • Industrial designs
  • Trade-marks or official marks
  • New plant varieties
  • Other (please specify)

1.5 Faculty consulting activities
During the reference year, was information on faculty consulting activities formally recorded by the institution?

  • Always
  • Sometimes
  • Never

1.6 Research contracts

1.6 a) Please provide the following information for research contracts in effect during the reference year. Do not include research grants (e.g., SSHRC, NSERC, CIHR). For multi-year contracts, please prorate the total amount of the contract for the reference year. See the handbook for detailed definitions of “Canadian” and “foreign”. If there is any doubt about the classification of the sponsor, please provide the name and address and Statistics Canada will provide the appropriate classification.
Please indicate “0” if there is no value to report for this year.
For each Sponsor please indicate the number of contracts and value of contracts in thousands of dollars.

  • Federal government $
  • Provincial and other levels of government $
  • Canadian business $
  • Canadian organizations $
  • Foreign governments $
  • Foreign businesses $
  • Foreign organizations $
  • Other (please specify) $
  • Total $

1.6 b) Please indicate what portion of the total value of research contracts provided above were allocated to clinical trials and collaborative R&D. Do not include research grants (e.g., SSHRC, NSERC, CIHR). For multi-year contracts, please prorate the total amount of the contract for the reference year.

Please indicate “0” if there is no value to report for this year.

For the research contract category, please report the value of the contracts in thousands of dollars.

  • a) Clinical trials: : (Definition/significance) The institution only tested drugs or other intellectual property on behalf of another party (e.g., a pharmaceutical company) and therefore, the institution does not own the drug patent(s) or other intellectual property in question.  Value of contracts$
  • b) Collaborative R&D: (Definition/significance) The research sponsor and the institution collaborated in the performance of the research. Value of contracts$

2. Identifying Intellectual Property

2.1 Indicate the number of new instances of intellectual property reported or disclosed to the institution during the reference year.

Please indicate “0” if there is no value to report for this year.

Number of new instances of intellectual property reported or disclosed. 

  • Inventions
  • Intellectual property protected by copyright:
    • Computer software or databases
    • Educational materials
    • Other materials
  • Industrial designs
  • Trade-marks or official marks
  • New plant varieties
  • Other (please specify)

3. Protecting Intellectual Property

3.1 Has the institution engaged in any of the following forms of intellectual property protection over the past 5 years?  Indicate YES in the column provided, whether or not the action was completed. These are more fully defined in the handbook.
(Please indicate YES or NO, for each of the following Intellectual property protection activities)

  • Filing of patent applications
  • Registration of copyright for computer software or databases
  • Registration of copyright for literary, artistic, dramatic or musical works, books, papers
  • Registration of copyright for educational materials
  • Registration of industrial designs
  • Filing for protection of trade-marks or official marks
  • Registration of integrated circuit topographies
  • Filing of applications for plant breeders’ rights
  • Execution of non-disclosure or confidentiality agreements
  • Administration of material transfer agreements (MTAs) inbound
  • Administration of material transfer agreements (MTAs) outbound
  • Other (please specify)

3.2 During the reference year, how many instances of intellectual property resulted in protection activity and how many were declined for protection by the institution?

Please indicate “0” if there is no amount to report for this year.

For each IP category please list: Number of intellectual property instances, that resulted in protection activity and the Number of intellectual property instances declined for protection.

  • Inventions
  • Intellectual property protected by copyright:
    • Computer software or databases
    • Educational materials
    • Other materials
  • Industrial designs
  • Trade-marks or official marks
  • New plant varieties
  • Other (please specify)

3.3 Patents applications and patents issued

3.3 a) During the reference year, how many initiating and follow-on patent applications were filed with the support of the institution? Initiating patent applications include provisionals or first filings. Follow-on patent applications include any that claim priority from an initiating patent application (e.g., CIPs). Regarding international patent applications (for example, Patent Cooperation Treaty, PCT), count the parent PCT as one application and each entry into national phase as one application. Also, of the patents filed with the support of the institution, indicate how many were issued, whether or not the institution retains the rights.

Please indicate “0” if there is no amount to report for this year.

  • Initiating patent applications
  • Follow-on patent applications
  • Total patent applications
  • Total patents issued

3.3 b) At the end of the reference year, what was the total number of patents held by the institution, including patents issued this year?

  • Patents held in Canada
  • Patents held in the U.S.
  • Patents held in other countries
  • Total Patents held

c) Of the total patents held, how many were licensed, assigned or otherwise commercialized at the end of the reference year?

  • Patents held in Canada
  • Patents held in the U.S.
  • Patents held in other countries
  • Total Patents held

4. Exploitation of Intellectual Property by the Institution

4.1 Licenses (including options)

This section deals with stand-alone licenses and options only and excludes those embedded in research contracts and non-commercial (royalty free) licenses. Please report the number of new licenses/options executed during the reference year and the number of active licenses/options at the end of the year. See the handbook for detailed definitions of “Canadian” and “foreign.” If in doubt, please provide the name of the licensee and Statistics Canada will assign the appropriate classification.

Please indicate “0” if there are no licenses to report for this year.

For each category please indicate: i) exclusive or sole licenses, ii) non-exclusive licenses, iii) total

  • a) New licenses executed with Canadian licensees
  • b) New licenses executed with foreign licensees
  • Total new licenses (a + b)
  • c) Active licenses with Canadian licensees
  • d) Active licenses with foreign licensees
  • Total active licenses (c + d)

4.2 Research funding related to licenses/options

In the reference year, how much research funding was committed to your institution that was related to license or option agreements executed in the same year? Include multi-year commitments and funding as a result of a research agreement renewal.  (thousands of dollars)

4.3 Income received from intellectual property

During the reference year, what was the total amount of income received from intellectual property?
For each category of Income received from intellectual property please list the total value in thousands of dollars.

  1. Running royalties $
  2. Milestone payments $
  3. From one time sales of intellectual property (in exchange for a single or several payments) $
  4. Reimbursement of patent, legal and related costs $
  5. License income received from another Canadian institution under a revenue-sharing agreement $
  6. Other (please specify) $
  7. Other (please specify) $
  • TOTAL (calculate total in thousands of dollars)

5. Spin-off Companies

5.1 New companies may be established to:

  1. license the institution’s technology,
  2. fund research at the institution in order to develop technology that will be licensed by the company, and/or
  3. provide a service that was originally offered through a department or unit of the institution.

These companies are often called spin-offs. The first type, those dependent on licensing the institution’s intellectual property, are called start-ups.  In the space provided below (or on a separate sheet), list the legal names of all spin-off companies, the year of their incorporation, the company status, institutional link, the percentage of the company owned by the institution and whether the spin-off is publicly traded.

  • Checkbox if NO spin-offs from this institution and GO TO question  6.1
  • For each spin-off company please list:
    • Legal name
    • Year incorporated
    • Company status (conceptual stage, early  stage, active, merged, inactive, closed)
    • Institutional link (licensing, R&D or service)
    • % company owned by the institution
    • Publicly traded; Yes or No

5.2 During the reference year, what was the total value of cash dividends received from these spin-off companies (not including disposition of equity)? (thousands of dollars) $

5.3 During the reference year, what was the amount received from disposition of equity holdings, options and warrants in spin-off companies? (thousands of dollars) $

5.4 At the end of the reference year, what was the value of remaining equity held by the institution in publicly traded spin-off companies? (thousands of dollars) $

5.5 During the reference year, how much investment in spin-offs (e.g., venture capital, angel investment) was raised with the assistance of the institution? (thousands of dollars) $

6. Respondent Feedback

6. 1 We are committed to minimizing the burden placed on our respondents while obtaining quality statistics. Please answer the following questions to help us fine-tune the survey.

  1. Please indicate how long it took you to complete this questionnaire (in minutes)
  2. In your opinion, which was the most difficult question to answer? (enter question number)
  3. Did you find the questions and classifications used in the survey compatible with your own accounting systems?
    • Yes
    • No; If not, please comment on how the concepts and classifications could be changed to be more compatible.

6.2 Other comments (please specify)

Thank you for your cooperation !

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