==============================================================================The 2007 Georgia Tech Inventor Survey

Inventors and Their Inventions: Understanding the Innovation Process

This survey is for the inventor of the following patent: Information from the patent document

Please answer the following questions with reference to the above patent (the “focal patent”), unless otherwise specified.

Statement of ConfidentialityThe information you provide will be held in the strictest confidence. We will neither publish, release, nor disclose any information on, or identifiable with, individuals or their companies, business units or R&D units.

INSTRUCTIONSThe survey is designed to be responded to by patent inventors. Please answer each item based on your best estimate. It is not necessary for you to search your files or consult with your colleagues to provide more detailed answers. Instead, please answer to the best of your ability based on your understanding of your invention and its development and use. On the basis of pre-tests, it should typically require 30 minutes to complete this questionnaire.

Feel free to add comments to clarify your answers, to add additional answer categories, or to make other comments on the questions.

Please note: We use the term “firm” throughout the survey to refer to your workplace. If you work in a university, government lab, etc., or are self-employed, please think of your workplace when answering questions about your “firm”.

If you would like, we will send you directly the results of the statistical analysis from this survey in your technology field. Please indicate your e-mail address if you are interested in receiving the final report of this research:

____________________@_______________________________

When finished, please return the questionnaire in the self-addressed stamped envelope.

YOUR RESPONSE IS VERY IMPORTANT TO US. If we can assist you in any way, or if you have any questions or comments, please contact me by phone, fax or email.

Prof. John P. WalshGeorgia Institute of TechnologySchool of Public Policy685 Cherry StreetAtlanta, GA 30332-0345

Tel: 404-385-0400 Fax: 404-385-0504Email: john.walsh@pubpolicy.gatech.edu

Section A: the invention ProceSS

Which of the following would best describe the purpose of your research leading to this invention, in relation to the business objective of your firm? Please select the most relevant answer.

Creating a new line of business Enhancing an existing line of business Enhancing the technology base of the firm or the long-term cultivation of technology seeds Other (please specify): ________________

At the time the research project began, which of the following would best describe the type of innovation your research was expected to realize? Please select the most relevant answer.

Creating a new process Improving an existing process Creating a new product Improving an existing product Other (please specify): ________________

Approximately how long did the research leading to the focal patent last until the patent application? Years Months

Which of the following scenarios best describes the creative process that led to your invention? Please select the most relevant answer.

A.1

A.2

A.3

A.4

We want to begin by asking you several questions about the research that led to the invention described in the focal patent. Please think of the research project that resulted in this patented invention when answering the following questions.

The invention was the targeted achievement of a research or development project

The invention was an unexpected by-product of a research or development project, not directly related to the main target of the project

The invention was an expected by-product of a research or development project, not directly related to the main target of the project

The idea for the invention was directly related to your normal job (which is not inventing), and was then further developed in a (research or development) project

The idea for the invention came from pure inspiration/creativity or from your normal job (which is not inventing), and was not further developed in a (research or development) project (i.e., was patented without further research and development costs)

Other (please specify): __________________________________

1

Which of the following would best describe the type of the invention in the focal patent?

Product Process Both (one claim in the patent covers

a product and another claim covers a process)

The following questions ask about the collaboration that created this invention.

A.5

A.6

2

First, please indicate the number of inventors on the focal patent (including yourself), listed by the organizations to which they belonged (Column A).

Second, for the research leading to this patent was there any (formal or informal) collaboration between your employer/organization and other partners (excluding co-inventors to the focal patent) (Column B)? Please check all that apply.

A B

Inventors(# of people)

Collaboration partners

a. Your firm _____

b. Suppliers for parts, materials, equipment, software, etc. (including contract manufacturers) _____

c. Customers and product users _____

d. Competitors _____

e. Non-competitors within the same industry _____

f. Other firms _____

g. Universities _____

h. Government research organizations _____

i. Hospitals (including university hospitals), foundations, or private research organizations _____

j. Other (please specify): __________________ _____

How important were the following sources of knowledge for suggesting the research that led to the patented invention? Please count knowledge disclosed in published sources (scientific and technical literature, patents, etc.) by researchers in a university or in a firm as the contribution of the relevant published source. (0 = I did not use this source; 1 = not important; 5 = very important)

A.7

A.8 How important were the following sources of knowledge for contributing to the completion of the research that led to the patented invention? Please count knowledge disclosed in published sources (scientific and technical literature, patents, etc.) by researchers in a university or in a firm as the contribution of the relevant published source. (0 = I did not use this source; 1 = not important; 5 = very important)

Did not use

Not VeryImportant Important

a. Scientific and technical literature 0 1 2 3 4 5

b. Patent literature 0 1 2 3 4 5

c. Fair or exhibition 0 1 2 3 4 5

d. Technical conferences and workshops 0 1 2 3 4 5

e. Standards documents (for example ISO standards or contributions) 0 1 2 3 4 5

f. Your firm, excluding co-inventors 0 1 2 3 4 5

g. Universities 0 1 2 3 4 5

h. Government research organizations 0 1 2 3 4 5

i. Customers or product users 0 1 2 3 4 5

j. Suppliers 0 1 2 3 4 5

k. Competitors (for example, by reverse engineering) 0 1 2 3 4 5

l. Other relevant sources (please specify): 0 1 2 3 4 5

Did not use

Not VeryImportant Important

a. Scientific and technical literature 0 1 2 3 4 5

b. Patent literature 0 1 2 3 4 5

c. Fair or exhibition 0 1 2 3 4 5

d. Technical conferences and workshops 0 1 2 3 4 5

e. Standards documents (for example ISO standards or contributions) 0 1 2 3 4 5

f. Your firm, excluding co-inventors 0 1 2 3 4 5

g. Universities 0 1 2 3 4 5

h. Government research organizations 0 1 2 3 4 5

i. Customers or product users 0 1 2 3 4 5

j. Suppliers 0 1 2 3 4 5

k. Competitors (for example, by reverse engineering) 0 1 2 3 4 5

l. Other relevant sources (please specify): 0 1 2 3 4 5

3

Approximately how many man-months did the research leading to the focal patent require (including those of co-inventors and other members of the research team)? [An example: If you worked on the research for half of three years and your collaborator for one third of two years for the research project, the answer would be 18 man-months + 8 man-months = 26 man-months.]

Less than one man-month 25-48 man-months

1-3 man-months 49-72 man-months

4-6 man-months 72-96 man-months

7-12 man-months More than 97 man-months

13-24 man-months Don’t know

What were the sources and approximate shares (%) of funding for the research leading to this patent, including funding for personnel?

a. Internal funds of the patent applicants (including subsidiaries) ____%

b. Government research programs or other government funds ____%

c. Customers or product users ____%

d. Suppliers for parts, materials, equipments, software, etc. ____%

e. Venture capital or angels ____%

f. Other companies ____%

g. Other (please specify): ______________ ____%

Total 100%

A.9

A.10

4

We want to ask you about how the focal patent has been used. While you may not know the exact answers to some of these questions, your “informed guesses” are sufficient. Once again, this information will never be disclosed in ways that would enable anyone to identify you, your patent, or your firm.

Compared to other technical developments in your field during the year the focal patent was applied for, how would you rate the technical significance of your invention, in the US (Column A) and worldwide (Column B)?

Technical significance US WorldwideTop 10% Top 25%, but not top 10% Top half, but not top 25% Bottom half Don’t know

Compared to other technical developments in your field during the year the focal patent was applied for, how would you rate the economic value of your invention, in the US (Column A) and worldwide (Column B)?

How important were the following reasons for patenting this invention at the time of the invention? (1= not important; 5 = very important)

Section B: USeS of the Patent

B.1

B.2

B.3

Not VeryImportant Important

a. Commercial exploitation (to obtain exclusive rights to exploit the invention economically) 1 2 3 4 5

b. Licensing (to obtain exclusive rights to license the invention in order to generate licensing revenues) 1 2 3 4 5

c. Cross-licensing (to improve your bargaining position when trading your own patent rights for other firms’ patent rights)

1 2 3 4 5

d. Pure defense (to ensure that the use of your own technology not be blocked by others) 1 2 3 4 5

e. Blocking patents (preventing others from patenting similar inventions, complements or substitutes) 1 2 3 4 5

f. Preventing inventing-around other key patents of your firm 1 2 3 4 5

g. Inventor’s reputation (patents as an element of evaluation of the inventor/research unit) 1 2 3 4 5

h. Firm’s reputation (patenting enhances the technological reputation of the firm) 1 2 3 4 5

i. Other (please specify): _____________________ 1 2 3 4 5

5

A B

Economic value US WorldwideTop 10% Top 25%, but not top 10% Top half, but not top 25% Bottom half Don’t know

A B

Has the applicant/owner ever used the patented invention in a product/process/service that has been commercialized? Yes No Not yet, but still investigating the possibilities Don’t know

If “No”, “Not Yet” or “Don’t Know”, skip to B.9

While many innovations involve a combination of products, processes, and services, would you characterize the commercial application of the focal patent as primarily involving a new product, process, or service? Product Process Service Don’t know

Roughly speaking, how many domestic patents (including other firms’ patents) are jointly used, together with the focal patent, in the commercial application of the invention? Please consider the minimum scope of the product or process in which your patent can be used and ignore expired patents.

In your opinion, how important are the following for protecting your firm’s competitive advantage for the commercial product/process/service based on this invention? (1 = not important; 5 = very important)

B.4

B.5

B.6

B.7

1 patent (your patent covers all patented technologies of the product/process) 2–5 patents 6-10 patents 11-50 patents 51-100 patents 101-500 patents 501-1000 patents More than 1000 patents Don’t know

Not VeryImportant Important

Don’t Know

a. First mover’s advantage in follow-up R&D (developing complementary technologies and the patent portfolio) 1 2 3 4 5

b. First mover’s advantage in commercialization (short lead-time between patenting and commercialization) 1 2 3 4 5

c. Complementary manufacturing capability 1 2 3 4 5

d. Complementary sales/service capability 1 2 3 4 5

e. Patents 1 2 3 4 5

f. Secrecy 1 2 3 4 5

g. Product/process complexity 1 2 3 4 5

h. Collaboration with other firms having complementary technologies 1 2 3 4 5

i. Other (please specify): __________________ 1 2 3 4 5

6

From the commercial launch of your product/process/service, approximately how long was it until another firm introduced a competing alternative?

Less than 6 months 6 months–1.5 years 1.5–3 years 3-5 years More than 5 years Don’t know

Has the focal patent been licensed by (one of) the patent-holder(s) to an independent party? Yes No No, but willing to license Don’t know

If “No” or “Don’t Know”, skip to B.13

If the patent is licensed, is it part of a cross-license? Yes No Don’t know

About how many licensees have taken a license to the focal patent? 1 2-5 6-10 11-50 51-100 More than 100 Don’t know

Did the licensing contracts include exclusivity clauses? Yes No Don’t know

Has this patent been exploited commercially by yourself or any of your co-inventors for starting a new company? Yes [If yes, please skip to C.1] No Don’t know

If you answered “Yes” to B.4 (commercialized?), B.9 (licensed?), or B.13 (start-up?), please skip to C.1.

B.8

B.9

B.10

B.11

B.12

B.13

7

If this patent was not used either as a commercial product/process/service by the applicant firm, for licensing, or for starting a new company, what are the reasons for it not yet being commercialized? Please check all that apply.

a. We are still actively exploring the commercial possibilities of this invention

b. The technology is used internally as a research tool to develop other commercial technologies

c. The patent is used or was used for blocking other firms from patenting similar inventions

d. The patent is used or was used for preventing inventing-around our products/processes by other firms

e. The technology or market environment has changed so that it reduced the value of this invention

f. The low technical level of the patented invention

g. Lack of interest from potential licensees

h. Lack of capital for starting a new firm based on the technology

i. The firm has not been able to develop any application technologies for this basic invention

j. The line of business for this invention has been downsized

k. The new line of business based on the invention has not been successful

l. The development of complementary technology in other technology fields is delayed

m.Other (please specify): __________________

n. Don’t know

B.14

8

Now we would like to ask you about your own work activity. Please think about a typical week at the time when you were working on the invention that led to the focal patent.

At the time of the research leading to the focal patent, approximately what percentage of your R&D effort was:

At the time of the invention, about how many hours did you work in a typical week? _____ Hours

Please tell us the share of overall working time that you spent on “inventing” or on R&D activities at the time of the invention _____ %

In the three years prior to the focal patent, how many articles did you publish (including co-authored articles) in scientific journals (including refereed conference proceedings)? _____ Articles

During the research leading to the focal patent, how important to you were the following reasons to work on inventing? (1=not important; 5=very important)

Not VeryImportant Important

a. Satisfaction from solving technical problems 1 2 3 4 5

b. Satisfaction from contributing to the progress of science and technology 1 2 3 4 5

c. It is my job to invent 1 2 3 4 5

d. Generating value for my firm/improving my firm’s performance 1 2 3 4 5

e. Career advances and opportunities for new/better jobs 1 2 3 4 5

f. Prestige/reputation 1 2 3 4 5

g. Recognition from co-workers 1 2 3 4 5

h. Recognition from others in the same profession (outside the firm) 1 2 3 4 5

i. Beneficial working conditions from my company (e.g., increased research budget) 1 2 3 4 5

j. Monetary rewards 1 2 3 4 5

k. For societal good 1 2 3 4 5

l. Other (please specify): _______________________ 1 2 3 4 5

Section c: r&D Activity

C.1

C.2

C.3

C.4

C.5

9

a. Basic Research (scientific research with no specific commercial objectives) ____%

b. Applied Research (scientific or engineering research with specific commercial objectives) ____%

c. Design and/or Development (technical activity translating research findings into products or processes) ____%

d. Technical service (providing manufacturing support, troubleshooting, etc.) ____%

Total 100%

The following questions ask about your career and background.

When the research leading to this patent was conducted, your highest degree was:

Please also indicate: The year in which this degree was earned: The country in which it was earned: For University Bachelor’s or higher:The discipline in which the highest degree was earned (e.g. mechanical engineering, biochemistry)

Year of your first patent application:

At the time of the focal patent application, how many years had you worked in the technical field of the patent?

What is the approximate number of invention disclosures that you made to your firm in the last three years? [If none (0), please skip to D.5] For what percent of those inventions did you or your firm apply for a patent? _____%

Employment before the invention:

Within the 5 years prior to the invention, did you work full-time for one year or more for another employer, including the case of a temporary posting to a university or government lab? Yes No [If “No”, please skip to D.7]

Section D: cAreer AnD BAckgroUnD

D.1

D.2

D.3

D.4

D.5

Inventor’s career and mobility:

10

High school or lower University Master’s

Technical college or junior college J.D.

University or college Bachelor’s Ph.D., M.D. or equivalent

Other: ___________

A firm with 501 or more employees

Hospital (including university hospital), foundation, or private research organization

A firm with 250-500 employees Federal government research

organization

A firm with 100-250 employees State or local government research

organization

A firm with less than 100 employees Other (please specify): __________

University or college

Employment at the time of the invention:

Which of the following best describes the type of the organization where you worked when you invented this patent? If you worked in a subsidiary of a larger organization, please include the parent company and its subsidiaries in the number of employees.

Is this organization also (one of) the applicant(s) of the focal patent? Yes No

Is this organization less than 5 years old? Yes No

[If you worked at more than one other organization in the last five years, please tell us about the most recent workplace before your current one.]

D.6

D.7

D.8

D.9

University or school

Federal government research organization

State or local government research organization

Supplier to my current organization, for parts, materials, equipments, software, etc. (including contract manufacturers)

Customers or users of my current firm’s products/services

Competitor

Non-competitor within the same industry

Hospital (including university hospital), foundation, or private research organization

Other (please specify): __________________

Which of the following best describes your previous organization?

11

Finally, we would also like to ask you for some basic demographic information.

Year of birth: ______

Country of birth: ________________________

Gender: Male Female

Did you have children at the time of the patent? Yes No

THANK YOU FOR YOUR COOPERATION

PLEASE RETURN YOUR COMPLETED QUESTIONNAIRE IN THE ENCLOSED POSTAGE-PAID ENVELOPE.

In which year did you join this organization(or start your business if self-employed)?

Which best describes the type of unit to which you belonged at the time of the invention?

Research and development: An independent research and development unit or its sub-unit A sub-unit attached to a unit with its primary focus on non-R&D such as manufacturing Manufacturing Software development Other (please specify):

D.10

D.11

D.12

D.13

D.14

D.15

12

YOUR REMARKS (PLEASE USE THE SPACE BELOW TO PROVIDE ANY ADDITIONAL INFORMATION, AMPLIFICATION OF YOUR ANSWERS, COMMENTS OR SUGGESTIONS)