Technical Annex Survey on Policies and Practices for IP-Mediated Knowledge TransferFootnote 1
I General Information about the Institution
1. Number of academic and other research-active employees:
Full-time (35 hours per week or more): ______
Part-time (less than 35 hours per week): ______
2. Number of PhD students: ______
3. In which of the following technical fields does your university/PRO conduct research? More than one answer is possible.
 Agriculture | Computer Engineering |
| Biotechnology | Chemical Engineering |
| Chemistry | Industrial Engineering |
| Medical Sciences* | Civil Engineering |
| Operation and Transportation | Environmental Engineering |
| Mechanical Engineering | Physics |
| Electrical Engineering | Electronics and Telecommunications |
| Other | |
*Include pharmaceuticals, medical instruments and technologies, etc.
4 What are the primary roles/missions of your institution? More than one answer is possible.
Teaching/education
Social sciences research (humanities, business, economics, etc.)
STEM research (science, technology, engineering, mathematics)
Medical and health sciences research
Visual and performing arts (painting, sculpture, dance, theatre, film, etc.)
Other (please explain)
II Ownership of IPRs Created at Your Institution
Questions 7–10 only need to be answered if your institution has an IP policy
6. Does your institution’s IP policy regulate ownership of the following IPRs that are created within the institution? More than one answer is possible.
Patents
Copyright
Industrial designs
Utility models
Trademarks
Plant varieties
Trade secrets/confidential business information
No, it does not regulate ownership of any IPRs
Don’t know/Not relevant
7. Does your institution’s IP policy follow national regulations on the ownership of IPRs?
Yes, the institution’s policies follow the national regulations
Yes, but the institution’s policies include areas not covered by the national regulations
No, because there are no relevant national regulations
No, the IP policy alters the national regulations
Don’t know/Not relevant
8. Who owns the IP when research is funded by public or private sources?*
More than one answer is possible.
| IP owner | Funded by public sources | Funded by private (business) sources |
|---|---|---|
| University/PRO | ⬜ | ⬜ |
| Funding organization/business | ⬜ | ⬜ |
| Inventor(s) | ⬜ | ⬜ |
| Other | ⬜ | ⬜ |
| Don’t know/Not relevant | ⬜ | ⬜ |
If other, please explain.
*Include both research funded under contract, for instance for a private business or government department, and research funded through research grants.
9. If the inventor/creator may own the IP: Which of the following types of inventor or creator can become owners of IPRs (excluding copyright) at your institution? More than one answer is possible.
Students
PhD students
Researcher-employees
Professors
Visiting researchers (include researchers on exchange from other organizations and honorary appointees).
III IP and Technology Management in the Institution
IP Disclosure Form
10. Are academics and/or researchers required to report inventions with possible commercial applications?
Yes
No
Don’t know/Not relevant
11. Is there a well-defined procedure for evaluating the potential commercial value of research produced by your institution?
Yes
No
Don’t know/Not relevant
12. If yes to question 12: Who is responsible for reviewing research results for their potential commercial application and/or possible protection by IPRs? More than one answer is possible.
Administration officer/office
University/PRO department where the invention was made
Inventor/creator
Knowledge transfer officer/office owned by or affiliated with the university/PRO
Private company (not part of or owned by the University/PRO)
Other (please explain)
Don’t know/Not relevant
IP Protection and Protection Against Infringement
13. Does your institution have policies or guidelines on confidentiality to protect IP?
Yes
No
Don’t know/Not relevant
Commercialization
14. Does your institution have regulations, guidelines or an IP policy for the commercialization of IP created at your institution?
Yes
No
Don’t know/Not relevant
15. Who manages IP for your institution, including the negotiation of licenses? More than one answer is possible.
Administration officer/office
University/PRO department where the invention was made
Inventor/creator
Knowledge transfer officer/office owned by or affiliated with the University/PRO
Private company (not part of or owned by the University/PRO)
Other (please explain)
Don’t know/Not relevant
16. Does your institution have a budget for filing, defending and/or maintaining IPRs?
Yes
No
Don’t know/Not relevant
17. Who shares in the financial benefits resulting from the exploitation of IP?
More than one answer is possible.
Institution
University/PRO department where invention was conceived
Inventor/creator
Government or other public funding body
Other (please explain)
Don’t know/Not relevant
18. Does your institution provide any of the following types of support for its spin-off companies? More than one answer is possible.
Startup capital
Releasing researchers/academics to (partially) work in the spinoff company
Incubator units
Management and/or administrative support from the institution
Other (please explain)
IV Incentives
19. Does your institution provide any of the following incentives or assistance to encourage staff to actively assist in implementing the IP policy? More than one answer is possible.
| Yes | No | Don’t know/Not relevant | |
|---|---|---|---|
| 1. Funding of research projects to further develop the IP | ⬜ | ⬜ | ⬜ |
| 2. Training on IP/technology management | ⬜ | ⬜ | ⬜ |
| 3. Nonfinancial rewards to inventors (e.g., promotion scheme, public acknowledgement or invention certificates, etc.) | ⬜ | ⬜ | ⬜ |
| 4. Academic recognition/reward | ⬜ | ⬜ | ⬜ |
| 5. Financial rewards to inventors (e.g.. participation in licensing income) | ⬜ | ⬜ | ⬜ |
| 6. Assistance in IP management (e.g., human resources, patent information search, marketing research, patentability evaluation, commercialization, etc.) | ⬜ | ⬜ | ⬜ |
| 7. Grants for IP protection costs (e.g., patent filing fees, prototype creation and/or legal fees) | ⬜ | ⬜ | ⬜ |
| 8. Assistance with a startup/spinoff (e.g., help for developing a business plan, market research, finance, identifying business partners, etc.) | ⬜ | ⬜ | ⬜ |
| 9. Other (please explain): | ⬜ | ⬜ | ⬜ |
V Engagement with Third Parties
20. How are contacts established between potential commercialization partners and your institution? More than one answer is possible.
Knowledge transfer officer/office identifies contacts
Inventor(s)/researchers identify contacts
Advertising or technology databases
Scientific conferences/seminars
Other (please explain)
Don’t know/Not relevant
21. Are there written rules or guidelines for licensing, including model contracts?
Yes (please explain)
No
Don’t know/Not relevant
22. Are the rules for licensing flexible?
Yes (please explain)
No
Don’t know/Not relevant
23. Are there rules or guidelines for exclusive versus nonexclusive licenses?
Yes (please explain)
No
Don’t know/Not relevant
VI Funding Sources for Research and Development (R&D)
24. Approximately what percent of your institution’s total research expenditures are funded by the following types of organization? Estimates are acceptable.
| National governments* | _________% |
| Private sector (businesses) | _________% |
| International funding agencies** | _________% |
| Other (please explain) | _________% |
| 100% |
Don’t know/Not relevant
* Government includes all national sources of public funding, including national, regional and local governments, plus funding by your university/PRO or other universities/PROs.
** Include government and nonprofit agencies such as the UN, World Bank, European Commission, etc.
VII Publication/Dissemination Policy
25. Are there are any initiatives to promote the broad dissemination of R&D results or copyrighted materials, such as Public Domain, Open Search, Open Access, Open Source, Open Course WareFootnote 2?
Yes (please explain)
No
Don’t know/Not relevant
26. Are there are any initiatives, regulations or policies that regulate the policies for publication delays (such as maximum length) for licensed IP?
Yes (please explain)
No
Don’t know/Not relevant
VIII IP Policy Awareness Raising
27. How are your institution’s policies on IP distributed to its employees and other stakeholders?
Through the institution website, URL_____________________
Paper copy
Training actions for students and staff
Other (please explain)
No distribution or not relevant (if no IP policy)
28. Does your institution have a web page dedicated to IP matters?
Yes, URL:____________________________
No
Don’t know/Not relevant
IX Problems, Challenges and Strategic Issues
29. Does your institution face any of the following challenges and obstacles for the commercialization of IPRs? If yes, please indicate the three most important ones.
For relevant column, tick all that apply.
| Challenges and obstacles | Relevant | Three most important ones |
|---|---|---|
| Weak scientific innovation capacity | ⬜ | ⬜ |
| Research not relevant to the needs of businesses in your country | ⬜ | ⬜ |
| National or local businesses lack the capability to use relevant research results | ⬜ | ⬜ |
| Lack of funds to file for patents | ⬜ | ⬜ |
| Lack of technical skills for patent information searches or drafting patents | ⬜ | ⬜ |
| Inefficient technology evaluation mechanisms (e.g., invention disclosure procedures not in place, inefficient technology evaluation, etc.) | ⬜ | ⬜ |
| Lack of appropriate institutional IP guidelines/policies | ⬜ | ⬜ |
| Cultural gap between university and industry | ⬜ | ⬜ |
| Inadequate national legal framework (e.g., laws, policies, regulations) | ⬜ | ⬜ |
| Lack of support from university management | ⬜ | ⬜ |
| Lack of incentives for researchers/inventors | ⬜ | ⬜ |
| Conflicts of interest (e.g., what kind of research to undertake; which third parties to cooperate with; whether to put IP into the public domain or whether to seek exclusive commercialization deals, etc.) | ⬜ | ⬜ |
| Other challenges (please specify): | ||
30. What are the main goals of your institution in supporting the commercialization of IP? More than one answer is possible.
Earn income
Support economic development in the region where your institute is located
Market the scientific and technical expertise of your institution
Identify research collaboration partners for academic research
Promote entrepreneurial attitudes among students and academics
Attract and retain academics
Identify job opportunities for students
1 This questionnaire is a modified version of the WIPO Assessment Questionnaire for Stakeholders from Academic and Research Institutions developed by the Intellectual Property Policies for Universities Focus Group. It is meant as a template only for policies and practices to support IP and IP mediated knowledge transfer. Questions for specific types of IP, such as copyright, or trademarks, can be added as needed.
2 Open Search is a collection of technologies that allow publishing of search results in a standard and accessible format. Open Source refers to access to software or source code. Open Access is associated with journal literature and other scholarly content. Open Course Ware (OCW) offers course materials free to anyone with online access.
Open access