National Survey of Research Commercialisation Survey Questionnaire 2012 and 2013

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Please ensure that you have read the Survey Instructions and Explanatory Notes Part 1 and 2 before preparing your responses to this survey.  Please note that this is a reference only version of the survey and that the survey should be completed electronically in the provided response template.

Part 1: Preliminaries

1a. Name of institution: ___________________________

1b. Please provide the ABN of the operational entity under which commercialisation activities are conducted. If you organisation has more than one such entity, please provide all relevant ABNs.  ABN/s or ACN/s:  _________________

1c. Please provide the postcode for the headquarters or operational location of the commercialisation activities for your organisation. Postcode: _______________________

Research Expenditure

2a. Have you completed the most recent Australian Bureau of Statistics (ABS) Survey (i.e. 31 December 2012 or 30 June 2013*)?

Yes/No If Yes, what was your institution's research and experimental development expenditure as reported in the most recent Australian Bureau of Statistics (ABS) survey (i.e. 31 December 2012 or 30 June 2013)?

2012:  ____________
2013:  _____________

If No, please supply your best estimate or internal calculations of you research expenditure. If an estimate, please take care not to overestimate probable expenditure.

2012:  ______________
2013:  ______________

2b. Please indicate the end date for the relevant ABS survey reporting period*:
31 December 2012 or 30 June 2013or 31 December 2012 or30 June 2013

Part 2: Intellectual Property

This Part is structured to broadly follow the IP commercialisation process, i.e. from resourcing, through invention disclosure, to licensing and spin-out formation. Please see the Explanatory Notes for guidance on activities that are to be included.

Resourcing

3.  In the reporting period, how many Full Time Equivalents (FTE) were employed in, or engaged by, your institution, and what were their associated costs, for the purposes of driving or supporting commercialisation in the following areas?

a. Dedicated legal staff
b. Dedicated marketing staff
c. Dedicated commercialisation staff 
d. Industry Community Engagement staff 
e. Other commercialisation staff
f. Total

4. In the reporting year what was your institution’s Technology Transfer Office (TTO) or external commercialisation related costs, excluding employment and legal costs?
a. Marketing
b. Other (please specify)
c. Total

5.  What did your institution spend to secure or defend statutory protection of intellectual property rights (e.g. patents, plant breeder rights, copyright, trademarks and/or registered designs) in 2012/2013?

External fees and legal costs:  ________________

6.  What amount was received by your institution from licensees as reimbursements of expenses reported in Question 5 (External fees and legal costs)?

2012:  ______________
2013:  ______________

7.  How many invention disclosures did your institution receive in 2012/2013?

2012:  ______________
2013:  ______________

Patent and Plant Breeder Rights Application

8.  How many patent and/or plant breeder rights applications were filed in 2012/2013?
a. Australia
b. United States
c. Elsewhere
d. Total

9.  How many new applications filed in 2012/2013were for each of the following:
a. Provisional patents
b. Patent Cooperation Treaty (PCT) patents
c. Innovation patents
d. National phase
e. Divisionals
f. Plant Breeder Rights
Subtotal
g. Registered design
h. Trademarks
i. Other
j. Total

10.  How many separate patent and/or plant breeder rights families are represented in the total patent and/or plant breeder rights applications specified as having been filed in 2012/2013 (as reported in question 8)?

2012:  _____________
2013:  _____________

Patents and Plant Breeder Rights Issued (Including Renewals)

11. How many patents and/or plant breeder rights were issued to your institution in 2012/2013?
a. Australia
b. United States
c. Elsewhere
d. Total

12.  How many patent and/or plant breeder rights families are represented in the patents and/or plant breeder rights issued to your institution in 2012/2013 (as reported in question 11)?

2012:  _____________
2013: ______________

Patent and Plant Breeder Rights Holdings

13.  How many patents and/or plant breeder rights did your institution hold as of 31 December 2012/2013?
a. Patents and/or plant breeder rights pending
b. Patents and/or plant breeder rights issued
c. Total

14.  How many patent and/or plant breeder right families did your institution hold as of 31 December 2012/2013?

2012:  ______________
2013:  ______________

15.  How many patents and/or plant breeder rights were culled or allowed to lapse from your institution’s holdings in 2012/2013?

2012:  _____________
2013:  ______________

Licences/Options/Assignments (loa)

This section refers to Licences/Options/Assignments (LOA) negotiated on full commercial terms only.

16a. How many Material Transfer Agreements did your institution enter into where your institutions provided the materials?

2012:  _________
2013:  _________

16b. What income did you derive from the agreements executed?

2012:  _________
2013:  _________

17. How many Licences/Options/Assignments (LOAs) did your institution:
a. Execute?
i.   Licences
ii.  Options
iii.  Assignments
iv. Total

b. Have active?
i.   Licences
ii.  Options
iii.  Assignments
iv. Total

18.  During 2012/2013 what was the location/ownership profile of the organizations with which LOAs were executed:
a. Australian owned and based companies/organisations
b. Australian owned and foreign based companies/organisations
c. Foreign owned and Australian based companies/organisations
d. Foreign owned and foreign based companies/organisations
e. Unknown
f. Total

19.  How many active LOAs yielded income in 2012/2013?* 

2012: __________
2013:  __________

20.  For those active LOAs that yielded income in 2012/2013 (question 19), how many LOA incomes can be attributed to the following income categories?  What is the value of income derived from each income category?
a. Running royalties
b. Cashed in equity
c. Other
d. Total

21.  For those active LOAs that yielded income in 2012/2013 (as stated in question 19), how many LOA incomes can be placed into each of the following income ranges?
a. Between $0 and $10,000
b. Between $10,001 and $50,000
c. Between $50,001 and $200,000
d. Between $200,001 and $500,000
f.  Total
Please specify other

22. In 2012/2013, how much of the income reported in the “Total Income” of Question 20 was paid to other institutions or commercial entities?

2012: __________
2013: __________

Capital Raising, Initial Public Offerings and Equity

23.  Did your institution participate in any capital raising for research commercialisation activities, including Initial Public Offerings (IPO), in 2012/2013?
a. IPOs
b. Other capital raising activities
c. Total final capital raised

24.  What was the value of all research commercialisation equity holdings as of 31 December 2012/2013?

2012:  __________
2013:  __________

25a. How many research commercialisation equity holding positions were fully or partially exited (i.e. by trade sale or buy-out) during 2012/2013

2012:  __________
2013:  __________

25b. What was the total value of equity received from all research commercialisation equity holdings that were fully or partially exited during 2012/2013?

2012:  __________
2013:  __________

Start-up Companies

26.  For all start-up companies your institution was formally involved with and were operational as of 31 December 2012/2013:
a. How many were dependent upon the licensing/assignment of your institution’s technology for initiation?
b. In how many of the companies identified in question 26 above, did your institution hold equity?

27.  What was the number of start-up companies dependent upon the licensing of your institution's technologies that ceased operations in 2012/2013?

2012:  __________
2013:  __________

Names and Contact Details of New Start-Up Companies

28.  How many start-up companies did your institution launch in 2012/2013?

2012:  __________
2013:  __________

Please provide details for each of the start-up companies that were formed in 2012/2013, to allow for survey follow-up if required.  (Please complete a sub-form for each company nominated.)

Name of company: _________________________________
Address:  _________________________________________
Suburb:   _________________________________________
State:  ___________________________________________
Postcode: ________________________________________
Country: _________________________________________
Telephone: _______________________________________
Email: ___________________________________________
ABN:   ___________________________________________
ACN: ___________________________________________

What was the start-up company’s funding source(s)?
a. Internal funding
b. Your institution
c. Venture capital
d. Corporate partner(s)
e. IPO
f.  Government partner(s)
g. Individual angel(s)
h. Friends and family
i.  Debt
j. Other
Please specify other

Part 3: Research Contracts, Consultancies and Direct Sales

Please see the Explanatory Notes for clarification on the activities covered by Research Contracts and Consultancies and Direct Sales.

29.  For research consultancies and contracts your institution entered into in 2012/2013 please identify the:
Number of consultancies
Total gross contracted value of consultancies
Number of contracts
Total gross contracted value of contracts
Number of direct transactions
Total gross value of direct sales

30. Of those research consultancies, contracts and direct sales shown in question 29, please identify:

a. The number of research consultancies according to total gross contracted value.
i.  Between $0 and $10,000
ii. Between $10,001 and $50,000
iii. Between $50,001 and $200,000
iv. Between $200,001 and $500,000
v.  $500,001 and over
vi.   Unspecified
vii.  Total

b. The number of research contracts according to total gross contracted value.
i.   Between $0 and $10,000
ii.  Between $10,001 and $50,000
iii.  Between $50,001 and $200,000
iv.  Between $200,001 and $500,000
v.   $500,001 and over
vi.  Unspecified
vii. Total

c. The number of direct sales according to total gross contracted value.
i.   Between $0 and $10,000
ii.  Between $10,001 and $50,000
iii.  Between $50,001 and $200,000
iv.  Between $200,001 and $500,000
v.   $500,001 and over
vi.  Unspecified
vii. Total

Part 4: Skills development and transfer

31a. Does your institution offer training and/or presentations / seminars / workshop courses to its researchers and/or research students in commercialisation and entrepreneurship that is undertaken as professional development and is not higher education qualification related:

Yes /No [If yes please go to question 31b, if no go to 32]

31b. Does this training include in-house training?

Yes /No [If yes please go to question 31b2, if no go to question 32]

31b2:  How many participants completed in-house training programs in 2012/2013?

2012: __________
2013: __________

31c. Does this training include delivery by an external provider?

2012: __________
2013: __________

Yes /No [If yes please go to question 31c2, if no go to question 32]

31c2:  How many participants completed external training programs in 2012/2013?

2012: __________
2013: __________

32. With reference to the start-up companies in operation as of 31 December 2012/2013 that were dependent upon the licensing/assignment of your institution's technology for initiation (i.e. those identified in response to question 26a):
a. How many research postgraduates were employed in those firms during 2012/2013 (FTE)?
i. Research postgraduates

b. How many of your institution’s staff were employed in those firms during 2012/2013 (FTE)?
i.  Postdoctoral staff
ii.  Academic staff
iii. Other institutional employees
iv. Total

Part 5:  Additional Information

33.  Is there any other additional information you wish to provide regarding the research commercialisation activities and performance of your institution?

_________________________________________________

_________________________________________________

_________________________________________________

_________________________________________________

_________________________________________________

__________________________________________________

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