BRDS Intellectual BRDS Intellectual Property Section

2 008 Survey of Industrial Research and Development:

R&D Intellectual Property Section

Jointly conducted by the

U

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.S. Census Bureau and the

National Science Foundation

Due:

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U.S. CENSUS BUREAU

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Jeffersonville, IN 47132-0001

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address.

Please forward this form to the appropriate R&D personnel who have access to records for this company’s R&D activities.

This form asks about legal concepts related to R&D and innovation at your company, including:

• Intellectual property

• Technology transfer

YOUR RESPONSE IS REQUIRED BY LAW. Title 13, United States Code, requires businesses and other organizations that receive this questionnaire to answer the questions and return the report to the

U.S. Census Bureau.

By the same law, YOUR CENSUS REPORT IS CONFIDENTIAL.

• It may be seen only by persons sworn to uphold the confidentiality of Census Bureau information and may be used only for statistical purposes.

• Copies retained in respondents' files are immune from legal process.

PATENTS

	Estimates are acceptable
1. As of January 1, 2007 what was the total number of active U.S. utility patents (patents for invention) owned or controlled by your company? (Enter 0 if none)……..
2. How many U.S. utility patents did your company apply for in 2007? (Enter 0 if none)…………………………….
3. How many U.S. utility patents were issued to your company in 2007 by the USPTO? (Enter 0 if none)…...
4. From 2005-2007, what percent of discoveries disclosed to your legal department did your company attempt to patent? (Enter 0 if none)……………………..	%

IP PROTECTION.

5. Indicate the importance of the following types of intellectual property (IP) protection for

discoveries resulting from your company’s research and development.

	IP protection is -
	Very important	Somewhat important	Not important	Don’t know / not applicable
A. Patents………………….	□	□	□	□
B. Trademarks…………….	□	□	□	□
C. Copyrights ……………..	□	□	□	□
D. Masks (copyright protection for semiconductor products established through the Semiconductor Protection Act of 1984)..	□	□	□	□
E. Trade Secrets………….	□	□	□	□

T ECHNOLOGY TRANSFER ACTIVITIES

6. During 2007 did this company perform the following activities:	Yes	No	Do not know
A. Licensed IP to an outside party? ……………………..	□	□	□
B. Licensed IP from an outside party?…………………..	□	□	□
C. Sold IP to an outside party?……………………………	□	□	□
D. Purchased IP from an outside party?…………………	□	□	□
E. Participated in technical assistance or “know-how” agreements to transfer IP not protected by a patent or copyright to an outside party?………………………	□	□	□
F. Participated in technical assistance or “know-how” agreements to receive IP not protected by a patent or copyright from an outside party?…………………..	□	□	□
G. Transferred IP to a spin out of your company (in which the owners of your company maintain an equity stake)?…………………………………………….	□	□	□
H. Received IP from a parent company as part of a spin out (in which the owners of the parent company maintain an equity stake in your company)?…………	□	□	□
I. Acquired a controlling interest in another company for the primary purpose of acquiring their IP? ……….	□	□	□
J. Provided venture capital funding to another company?………………………………………………..	□	□	□

L ICENSING IP OUT

	2007
	Estimates are acceptable
7. As of January 1, 2007 how many active agreements did your company have to license IP to an outside party? (Enter 0 if none)……………………………………
8. How many new agreements did your company enter into in 2007 to license IP to an outside party? (Enter 0 if none) …………………………………………………….
9. What were your company’s total revenues (royalties, license fees, and other fees) for the use of IP in 2007? (Enter 0 if none) ……………………………	%
10. What percent of your company’s agreements to license IP to an outside party : A. Involve technology your company had already commercialized? (Enter 0 if none)…………………..	$
B. Include royalty payments based on sales of goods or services using the IP? (Enter 0 if none)…	%
If 10B is greater than 0, What is the average royalty rate (as a percentage of gross sales) for these agreements? (Enter 0 if none) …..	%
C. Involve your company acquiring equity in the licensee company? (Enter 0 if none) ………………	%
D. Are exclusive in nature (include exclusivity clauses)? (Enter 0 if none) ………………………….	%
E. Are limited to use in the United States? (Enter 0 if none) ……………………….. …………..	%

LICENSING IP IN

		2007
		Estimates are acceptable
	As of January 1, 2007 how many active agreements did your company have to license IP from an outside party? (Enter 0 if none)………………………………….. Of the amount reported in question 12, what percent was from:
	A. Universities or colleges? (Enter 0 if none) …..…….	%
	B. For-profit companies? (Enter 0 if none) …………….	%
	C. Federal government agencies? (Enter 0 if none) ….	%
	D. Other organizations? (Enter 0 if none) ……………..	%
	14. How many new agreements did your company enter into in 2007 to license IP from an outside party? (Enter 0 if none) …………………………………………………..
	15.Of the amount reported in 14, what percent was from:
	A. Universities or colleges? (Enter 0 if none) …………	%
	B. For-profit companies? (Enter 0 if none) ……………	%
	C. Federal government agencies? (Enter 0 if none) ….	%
	D. Other organizations? (Enter 0 if none) ……..………	%
	15. What were your company’s total payments (royalties, license fees, and other fees) for the use of IP in 2007? (Enter 0 if none) …………………………………………	$

16. What percent of your company’s agreements to license IP from an outside party include royalty payments based on sales of goods or services using the IP? (Enter 0 if none) ………………………………….	%
A. What is the average royalty rate (as a percentage of gross sales) for these agreements? (Enter 0 if none) …………………………………………………	%
B. What percent of your company’s agreements to license IP from an outside party involve your company giving equity to the licensor? (Enter 0 if none) ………..	%
C. What percent of your company’s agreements to license IP from an outside party are exclusive in nature (include exclusivity clauses)? (Enter 0 if none)…………………………………………………..	%
17. What percent of your company’s agreements to license IP from outside party are limited to use in the United States? (Enter 0 if none) …………………………	%
RESEARCH AND DEVELOPMENT COLLABORATIONS	2007
	Estimates are acceptable
18. As of January 1, 2007 to how many collaborative research and development agreements was your company a party? Collaborative research and development agreements are defined here as agreements through which two or more parties pool resources to undertake R&D and share in any resulting intellectual property. (Enter 0 if none)……….
19. How many new collaborative research and development agreements did your company enter into in 2007? (Enter 0 if none)………………………………..

20. Of the collaborative R&D agreements to which your company is a party, what percent involved collaborations with the following types of organizations? (Detail may not add to 100%)…………..
A. Universities or colleges? (Enter 0 if none) …………	%
B. Federal government agencies? (Enter 0 if none)…..	%
C. For-profit companies? (Enter 0 if none) …………….	%
D. What percent were from other organizations? (Enter 0 if none) ……………………………………….	%
21.What percent involved collaborations with the following:
A. Customers? (Enter 0 if none) ………………………..	%
B. Suppliers? (Enter 0 if none) ………………………….	%
C. Competitors? (Enter 0 if none) ………………………	%
D. Other? (Enter 0 if none)……………………………..	%