Higher Education Research and Development Survey - Pilot

Draft 04/27/09

NATIONAL SCIENCE FOUNDATION

ARLINGTON, VA 22230

Higher Education Research and Development Survey

University Intellectual Property and Commercialization Module

1. How many of the following activities involving intellectual property occurred at your institution in FY 2009?

	FY 2009 Number
Invention disclosures received Include the inventions officially disclosed to your institution’s technology licensing/transfer office (or designated legal entity).	___________
Licenses executed Include exclusive and nonexclusive agreements.	___________
Option agreements executed Include exclusive and nonexclusive agreements.	___________
Active licenses Include those active at the end of FY 2009.	___________
Active options Include those active at the end of FY 2009.	___________

2. During FY 2009, how many of the following U.S. patent activities took place at your institution?

Include patents for:

• Inventions (utility patents)

• Aesthetic elements (design patents)

• Plants (utility or plant patents)

	FY 2009 Number of U.S. Patents
	Utility	Plant	Design
A. Provisional patent applications filed The provisional patent application preserves an earlier date for 12 months for the consideration of patentability.	_______	_______	_______
B. Patent applications filed Include initial filings for the original patent only. Do NOT include renewals, continuations, or divisions.	_______	_______	_______
Patents issued	_______	_______	_______

During FY 2009, how many Plant Variety Protection (PVP) applications were filed by your institution? PVPs are filed with the United States Department of Agriculture (USDA) to protect plant varieties that cannot be patented. Plants protected by PVPs include tuber propagated plants (such as peanuts) and plants reproduced using seeds.

____________ applications

2. During FY 2009, how many of the following foreign patent activities took place at your institution?

	FY 2009 Number
Patent applications filed outside the United States	_______
Patent Cooperation Treaty (PCT) applications filed The PCTs are issued by the World Intellectual Property Organization (WIPO) and give patent protection for 18 months in WIPO’s member nations.	_______
Patents issued by other countries	_______

How many of the U.S. and foreign patents your institution FILED in FY 2009 were for inventions developed at least in part through federally funded projects?

____________ patents

How many of the U.S. and foreign patents ISSUED to your institution in FY 2009 were for inventions developed at least in part through federally funded projects?

____________ patents

How many startup companies formed in FY 2009 have licenses for technology from your institution?

____________ companies

For how many of the startup companies reported in Question 7 does your institution have an ownership stake? An ownership stake could include stock, equity, options, and warrants.

____________ companies

2. For the startup companies reported in Question 7, how many have licensed your institution’s technology in the following areas?

	FY 2009 Number
Agricultural and biological sciences/technologies	__________
Engineering and applied sciences	__________
Health professions, sciences and technologies	__________
Mathematics and physical sciences	__________
Other	__________
TOTAL	__________

2. How much technology-related revenue did your institution receive in FY 2009 for the categories below?

	FY 2009 Total (in thousands)
Exclusive licenses	$___________
Non-exclusive licenses	$___________
Ownership transfer of technology	$___________
Sales of royalty rights	$___________
Cash dividends	$___________
Equity cash-outs	$___________
Other revenue from intellectual property (please specify)______________________________________________________________________________________________________________________________	$___________
TOTAL	$___________

2. Of the U.S. patents reported in Question 2, row b, how many were FILED for inventions in each of the technology areas below?

If a patent involved more than one technology area, please divide the patent across the areas. For example, report a patent filed covering two technology areas as .5 for each area.

	FY 2009 Patents filed
Agricultural and biological sciences/technologies	________
Engineering and applied sciences	________
Health professions, sciences and technologies	________
Mathematics and physical sciences	________
Other	________
TOTAL	________

2. Of the U.S. patents reported in Question 2, row c, how many were ISSUED for inventions in each of the technology areas below?

If a patent involved more than one technology area, please divide the patent across the areas. For example, report a patent issued covering two technology areas as .5 for each area.

	FY 2009 Patents issued
Agricultural and biological sciences/technologies	________
Engineering and applied sciences	________
Health professions, sciences and technologies	________
Mathematics and physical sciences	________
Other	________
TOTAL	________

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