!

!
!
!

The$ProTon$Europe$$
Ninth$Annual$Survey$Report$
(fiscal$year$2011)$
$
December!2012!
$
$
Authors$

Andrea$Piccaluga$
Chiara$Balderi$
Claudia$Daniele$
$

$
Report$produced$by$Istituto$di$Management,$Scuola$Superiore$
for$ProTon$Europe$
!

!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!

ProTon$Europe$asbl!
c/o!CREF1!FNRS!
!
B11000,!Brussels!
Tel:+!352!661!123!670!!
E1mail:!sg@protoneurope.org!!
Web:!http://www.protoneurope.org!
!

Table$of$contents$
!

!
!
Presentation!........................................................................................................................!4!
1.!Acknowledgments!and!authors!.......................................................................................!6!
2.!Introduction!.....................................................................................................................!8!
3.!Executive!Summary!.........................................................................................................!9!
3.1.!Number!of!respondents!...........................................................................................!9!
!.............................................................................................................!9!
3.3.!IP!management.......................................................................................................!11!
3.4.!Licensing!.................................................................................................................!14!
3.5.!Spin1offs!..................................................................................................................!15!
3.6.!Performance!indicators!..........................................................................................!19!
3.7.!International!benchmark!........................................................................................!22!
4.!Respondents!!by!country!and!type!of!PROs!..................................................................!30!
5.!Characteristics!of!the!KTOs!............................................................................................!36!
6.!IP!management!..............................................................................................................!40!
7.!Licensing!........................................................................................................................!53!
8.!Spin1off!companies!........................................................................................................!60!
Appendix:!ProTon!Europe!Annual!Survey!Questionnaire!.................................................!65!
Glossary!.............................................................................................................................!72!
!
!
!

!

3""

! Universities! have! also! a! role! to! play! by! providing! highly!educated.! This! may! be! of! benefit! to! KTOs! who! are! often! asked! to! provide! statistics! on! relative! international! performance! for! a! range! of! surveys! and! other! purposes.!hence!we!strive!to! cover!as!much!of!Europe!and!as!many!institutions!as!possible.!by!delivering!research!which!aids! our! understanding! of! the! world.! representative!! dataset! for! Europe.!most!economists! are! saying! that! innovation! is! the! only! way! to! generate! the! green! shoots! of! recovery.! and! is! working! to! enlarge! the! number! of! countries! and! national! associations! who! will! use! the! Proton! survey! as! the! standard! (noting! that.!! If!innovation!is!the!way!for!our!countries!to!come!out!of!the!crisis.! and! is! starting! to! enable! the! collection! of! a! more! comprehensive! European! dataset.! Proton! Europe! also! recognises! the! value! in! generating! a! universal.!This!questionnaire!has!now!been!adopted!by! several! countries.! Proton! Europe! has! recognised! as! a! priority! the! need! to! collect! data! and! report! on! metrics! which! measure! the! activity! of! KTOs! throughout! Europe.! Knowledge!Transfer!Offices!(KTOs)!have!the!responsibility!to!make!science!investable.Presentation$ ! Since! around! 2009! the! western! economies! have! been! facing! a! deep! crisis.!It!is!important!that!this!work!is!inclusive!and!comprehensive.!! ! 4" .! Innovation! is! then! a! task! for! all! of! the! relevant! actors.!entrepreneurial!and!creative!people.! and! to! link! with! appropriate! partners! in! order! to! better! communicate! and! disseminate! innovations! to! the! general! public.! Proton! Europe! is! grateful! to! those! early! adopters! who! have! supported! the! survey! work.!! National! associations! as! members! of! Proton! Europe! can! be! key! players! in! collecting! these! data.!to! introduce! research! results! into! the! innovation! process.! and! more! and! more! individual! countries! are! conducting! national! surveys.! Since! its! foundation! in! 2003.! in! particular! business! and! commerce! but! also! other! sectors.! Proton! Europe! devised! a! data! collecion! questionnaire! some! years! ago! by! involving! national!associations!in!a!working!group.! I! feel! strongly! that! working! in! this! way! is! the! only! way! in! which! we! will! be! able! to! collate! a! representative! dataset! which! will! allow! for! comparison! between! the! innovation! activities! and! performance! of! European! universities! and! those! of! our! counterparts! in! other!large!economies!in!the!world.!On!the!other!hand.!then!it!is!predictable! that! governments! will! look! for! reliable! metrics! ! in! order! to! convince! their! citizens! and! parliaments! that! investing! in! research! and! education! is! relevant! and! will! lead! to! an! improved!economic!situation.! and! by! making! their! findings! available! to! support! economic!growth.! leading! to! restrictions!on!public!spending!in!most!countries.! additional! local! data! can! be! added! to! the! standard! questionnaire).! in! some! cases.

!providing!reliable!benchmarks!and!trends!in!KTOs.!and!will!highlight!the!benefits!of!participation!in!the!survey.ProTon!Europe!Ninth!Annual!Survey!Report!(FY!2011)! One! of! the! key! aims! Proton! Europe! is! to! promote! this! common! system! of! data! collection.! ! Dr#Ir#Michel#Morant# Chair#of#the#Board#of#Proton#Europe# ! "5"" .! Finally.!Proton!intends! that!the!availability!of!the!data!will!facilitate!international!comparisons!and!the!adoption! of!best!practice.! at! the! Santa! Anna! Business! School! of! Pisa! and! to! thank!them!for!their!ongoing!involvement!in!the!survey!and!in!the!metrics!approach.! which! can! be! of! benefit! to! our! stakeholders! and! other! entities! who! have! a! need!to!analyse!the!dataset!and!promote!further!work!based!on!it.!and!to!the!Italian!team!which!brings!a!rigorous!scientific!approach!to! collation!of!the!data.!! Proton! Europe! is! very! grateful! to! the! national! associations! which! have! adopted! the! standard!survey.!Proton!Europe!wants!to!emphasize!the!scale!of!the!task!which!is!tackled!by!the! team! led! by! Prof! Andrea! Piccaluga.

! Finally.! and! graduated! in! electromechanical! and! electrical! engineering!at!University!of!Liege!in!1979.! TechTrans! (Denmark).!In!1986.$ $ ! 6"" .org).!and!member!of!international!associations!like! of! SPOW.$Michel$Morant$(University$of$Liege)$ Michel! Morant! is! presently! the! Managing! Director! of! University1Industry! Liaison! Office! of! the! University! of! Liege.!! Proton!Europe!wishes!to!thank!the!national!technology!transfer!associations!and!other! organizations!which!have!collaborated!in!collecting!and!providing!national!data.!He!was! appointed! in! 1998! by! the! University! to! reorganise! the! technology! transfer! activities.! and! vice1president!in!charge!of!the!technique!and!commercial!departments!in!1995.! the! seed! capital! fund!of!Liege.! the! Belgian! association! of! Science! Parks.!He!is!in!the!board!of!directors!of!several! high!tech!companies.!he!launched!the!first!Patlib!Center!in!Belgium.! became!member! of! the!managing! board! in! 1990.! and! co1CEO! of! Spinventure.!such!as! HEFCE! (UK).! patenting.! which! is! the! company! of! ULg! for! technology! transfer.protoneurope.protoneurope.! During! this! period.! He! is! now! CEO! of! Gesval.!He!is!CLP!certified.! he! is! the! current! President! of! ProTon1Europe.!It! has!been!written!by!Andrea$Piccaluga.! Michel! Morant! was! born! in! 1956! in! Malmedy.!and!is!now!vice1 president!of!Picarre.ProTon!Europe!Nineth!Annual!Survey!Report!(FY!2011)! ! 1.! in! charge! of! Industrial!contracting.!Previous!reports!and!presentations!are!available!on!the!ProTon!Europe! website:!www.!the!Walloon!Agency!for!IP.! he! has! been!working!at!the!ULg!as!a!Research!Engineer!in!the! Electrical! Engineering! Department.! RedOtri! (Spain).$Acknowledgments$and$authors$ ! This! report! describes! and! analyses! Knowledge! Transfer! (KT)! data! collected! from! European!universities!and!other!public!research!organisations!for!fiscal!year!(FY)!2011.! ITTIG! and! Enterprise! Ireland!(Ireland).! and! spin! off! activities.!In!2002.!Chiara$Balderi!and!Claudia$Daniele.! member! of! IASP.!who!work!at! the! Istituto! di! ! and! has! been! prepared!on!behalf!of!ProTon!Europe!(www.org! $ Prof.! licensing.!he!joined!the!Power!Transport!and!Distribution!Division! of! the!AEG!Daimler1Benz! group.!than!a!MBA! in! 1982! and! a! PhD! in! 1984.! Netval! (Italy).! the! paneuropean! association! of! KTOs! of! public! research.

ProTon!Europe!Ninth!Annual!Survey!Report!(FY!2011)! Prof.! ! ! ! ! "7"" .! dealing! with! the! data! collection! and! statistical! elaboration!of!annual!surveys!Netval!and!ProTon!Europe.! Her! research! interests! focus! on! the! processes! of! valorisation! of! research! results! from! public! research! and! on! University1Industry! Technology! Transfer! (UITT).!He!carries!out!research!activity!at!the!Istituto! di!Management!at!Scuola!Superiore!Sant'Anna.! ! Claudia$Daniele$(Scuola$Superiore$Sant'Anna)$ She!graduated!in!Sociology!at!the!University!of!Pisa!and!has! now! a! research!grant! at! the! Istituto! di! Management!of! the! Scuola! Superiore! Sant'Anna! of! Pisa.! He! is! the! responsible! of! the! Netval! annual! survey! and! of! the! ProTon! Europe! survey.! At! present.! carried! out! at! European!level.! Italy).! She! conducts! research! on! technology! transfer! activities! in! Italian! and! European! universities.! ! Chiara$Balderi$(Scuola$Superiore$Sant'Anna)$ PhD! in! Management! at! Scuola! Superiore! Sant'Anna.! post1doc! fellow! at! Scuola! na.! Pisa! (Italy)! in! March! 2010.$Andrea$Piccaluga$(Scuola$Superiore$Sant'Anna)$ Professor! of! Innovation! Management! at! Scuola! Superiore! Sant'Anna! (Pisa.! where! he! is! Delegate! for! Technology! Transfer!Delegate!and!Coordinator!of!the!international!PhD!in! Management.

! Proton! Europe! works! closely! with! national! networks! and! associations! which! collect! the! data! that! is! included! in! the! ProTon! Europe! survey.! to! underpin! the! development! of! KT! policy! at! European.!and!this!is! why!complete!information!is!provided.! In! fact.! This! is! the! most! effective! and! least! onerous! system! for! those! countries!where!data!collection!at!national!level!is!well!established.! among! other! purposes.! national! and! regional!level!and!in!order!to!allow!PROs!to!benchmark!their!performances.$Introduction$ ! Since!2003!ProTon!Europe!has!been!carrying!out!a!survey!of!the!activities!of!Knowledge! Transfer!Offices!(KTOs)!in!European!universities!and!other!public!research!organisations! (PROs).! empirical! detailed! evidence! about! the! specific! activities! and! outcomes! of! KTOs! is! relatively! scarce.2.! ! 8" .! in! fact.! reports! about! KT! and! related! topics! present! data! only! in! percentages.!ISBN!97819217911200911.! ProTon!Europe!considers!this!kind!of!direct!collection!of!data!from!universities!and!PROs! a! particularly! relevant! activity.! despite! the! high! level! of! attention! and! intense! debate!about!the!valorisation!of!the!results!of!public!research!in!Europe!and!worldwide.!This!is!therefore!the!ninth!consecutive!report!and!it!refers!to!FY!2011.!! From!a!methodological!point!of!view.! !!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! 1 !For!more!information!see!European!Commission!(2009).!! In! order! to! minimize! the! administrative! burden! on! KTOs.! data! have! been! collected! through! a! questionnaire! which! has! maintained! a! core! of! common! questions! over! time! and! has! taken! into! account! the! recommendations! of! the! European! Commission! (EC)! expert! group!on!KT!metrics1.! In! the! present! survey.!Metrics#for#Knowledge#Transfer#from# Public#Re on#Knowledge#Transfer#Metrics.! Often.! ProTon! Europe! uses! the! results! of! its! survey.!Data!collection!has!taken!place!in!Summer!and!Autumn!2012.!Belgium.! without! sufficiently! precise! references! to! the! number! of! participants! and! respondents! to! each! question.!the!important!choice!in!writing!the!present!report! has!been!that!of!describing!with!extreme!precision!the!number!of!respondents!for!each! question.

!CEMI!and!Empirica!are!also!presented!(table!3.!ASTP.! which!refers!to!fiscal!year!2011.! where! available.! the! annual! results! referring! to! previous! years! are! also! reported.! recent! data! from! AUTM.! Data$from$329$KTOs$ ProTon!Europe n!about!KTOs.! By! comparing! the!sample!size!with!other!KT!surveys!carried!out!at!European!level!(table!3.!The!first!sample!is!inclusive!of!all!KTOs!considered!in!the!survey.!it!was!11.1) is!the!survey!about!KT!activities!in!Europe!with!the!highest!number!of!respondents!year! after! year.!The!second!sample! only!includes!KTOs!whichregistered!non1zero!values!for!that!specific!question.$Number$of$respondents$ The! ninth! edition! of! the! survey! includes! data! from! 329! European! KTOs.! ! 3.! Intellectual! Property! (IP)! management.!!! ! 9" European$KTOs$are$on$ average$14$years$old$ (FY$2011$ProTon$ Europe$survey)$ Average$staffing$$ level$in$2011$is$8.! with!a!small!increase!if!compared!with!2010!(figure!3.! whereas! U.! funded! by! the! European! Commission.1).S.! spin1off! creation!1!some!average!values!have!been!calculated!using!two!different!samples!(table! 3.! wherever! possible.5!years!(table!3.3!full!time!equivalent!(FTE)! employees!each.!In!particular.!European!KTOs!included!in! the! 2008! ASTP! survey! are! 9! years! old.! in! order! to! try! and! compare! data! with! other! surveys! about! Knowledge! Transfer! (KT)! activities! in! both! Europe! and! the! US.! provides! longitudinal! data! about! KTOs! and! therefore! represents! a! very! rich! source! of! information.2!in!the!2006!edition.!On!average.1.! KTOs! (2007! AUTM! survey! results)! exhibit!an!average!age!of!18.$Executive$Summary$ Data! from! 329$ Knowledge$ Transfer$ Offices$ (KTOs)$ are! included! in! the! present! survey.!KTOs!in!the!ProTon!survey!employed!on!average!8.1).$ $ With!regard!to!the!year$of$foundation.1).! ! 3.! with! the! exception! of! the! Empirica! GmbH! survey.2).2.!the!average!age$of$the$KTOs!included!in!the!2011! ProTon! Europe! survey! is! 14! years! (like! the! KTOs! included! in! the! survey! carried! out! by! Empirica!GmbH).! collaborative! and! contracted! research.!! It! is! very! important! for! ProTon! Europe! to! analyse! longitudinal! data! and! this! is! why.3.!whose!sample!size!in!2010!was!402.! Moreover.! In!2011.!the!average!FTE$staff!is!exactly!the!same!value!as!in!2006.!which!makes! data! collection! harder! in! the! short! term.! but! generates! very! valuable! data! for! policy! makers! and! university! managers! in! the! medium! and! long! term.!it!is!also!worth!mentioning!that!in!order!to!provide! a!clear!picture!of!the!results!achieved!in!the!surveyed!period!by!European!KTOs!actually! involved! in! the! different! Knowledge! Transfer! (KT)! activities! 1! mainly.! licensing.3$ FTEs$$ .! From!a!methodological!point!of!view.

7 2009 2010 8.4 2006 2007 7.$n2009=153.3 6 4 2 0 2005 2008 2011 $ Source:#ProTon!Europe!! ! 2008!was!11!FTE!employees!(2008!AUTM!survey).S.2).!notwithstanding!that!U.5 7.$n2007=138.!which!is!138.7 10 8 8.6 7.$n2008=144.$n2010=152.!KTOs!were!1! on!average!1!established!much!longer!ago!than!European!ones!(their!average!age!being! almost!20!years).$n2011=132)$ Average$KTOs'$staff$(FTEs) 12 9.2$K$$ The!average!budget!of!European!KTOs!in!2011!(results!from!the!ProTon!Europe!survey)! is! 375.$n2006=140.3%!if!compared!with!the!result!referring!to! 2010! and! +8.!! In$2011$average$ annual$budget$$ for$European$KTOs$$ $375.! the! average! budget! calculated! by! considering!only!those!KTOs!exhibiting!non1 517.! In! 2011.2!K!(figure!3.! ! 10"" .3 8.2).ProTon!Europe!Ninth!Annual!Survey!Report!(FY!2011)! ! $ Figure$1$ $ $ (n2005=184.1!K!per!KTO!(table!3.9%! if! compared! with! 2005.

$n2006=40.$ each$European$KTO$ disclosed$22.337!inventions!were!disclosed!by!European!KTOs!taking!part!to!the! 2011!ProTon!Europe!survey.$n2011=283)$$ $ Source:#ProTon!Europe! ! ! ! "11"" On$average.ProTon!Europe!Ninth!Annual!Survey!Report!(FY!2011)! Figure$3.$n2007=296.$n2011=113)$$ Average$KTOs'$budget$(K$Euros) 700 608.7!inventions!if!we!consider!only!those!KTOs!in!which!at!least!one! invention! was! disclosed! (table! 3.2$ $ $ (n2005=171.! The! average!number!is!31.$n2006=287.$n2010=101.1 600 514.3$ $Average$number$of$invention$disclosures$$ (n2005=292.$in$2011.$n2008=293.$n2007=77.9 375.$n2009=315.$n2009=82.8 500 400 543.$IP$management$ A!total!number!of!6.4 437.$n2010=271.4%! if! compared! with! 2005.4 300 200 100 0 2005 2006 2007 2008 2009 2010 2011 $ Source:#ProTon!Europe! 3.$n2008=107.2 344.2).5 406.3).4$ $ .! figure! 3.! Figure$3.3.!On!average.9.1%! if! compared! with! 2010! and! +46.4$invention$disclosures! (+16.!each!KTO!registered!22.! The! average! number! of! inventions! disclosed! in! FY! 2010!by!the!KTOs!taking!part!to!the!survey!carried!out!by!Empirica!GmbH!is!29.

4 6 4 2 0 2005 2006 2007 2008 2009 2010 2011 $ Source:#ProTon!Europe! ! Regarding!U.8!invention! disclosures! and! filed! 67.!performances:!on!average.9$active$patents$ in$portfolio$as$of$ December$31st$2011$ The!average!patent$portfolio$held!by!European!KTOs!participating!to!the!ProTon!survey! as! of! December! 31st! 2011! (figure! 3.!! Each$European$KTO$ held$on$average$ 81.$n2010=277.$n2007=308.! see! the! 2010! AUTM!results!in!table!3.4$ $Average$number$of$priority$patent$applications$$ (n2005=338.! Average$number$of$priority$patent$ applications Figure$3.$n2008=296.5 9.!in!2010.$n2006=287.0 10.ProTon!Europe!Ninth!Annual!Survey!Report!(FY!2011)! ! priority$patent$ applications$$ In!2011.!the!average!value!being!11.! $ ! ! ! ! 12"" .! even!if!it!represents!a!growing!management!responsibility!for!KTOs.8!applications!per!KTO!(+26.8%! if! compared! with! 2010).4.8 12 10.5! patents! per!KTO.7 10 8 10.4).!European!KTOs!registered!a!total!number!of!3.! This! figure! rises! to! 17! priority! patent! applications!per!KTO!if!we!consider!only!those!KTOs!which!exhibited!non1zero!values!in! 2011!(table!3.!which!is!an!extremely!positive!result.6%! if! compared! with! 2005! and! +13.2).358!priority$patent$applications$ (figure!3.!The!average!number!of!priority!patent!applications!filed!in!FY!2010!by! the!KTOs!taking!part!to!the!Empirica!survey!is!14.3 8.$n2011=285)$ 14 11.! The! average! number! of! active! patents! held! by! those! European! KTOs! exhibiting! a! patent! portfolio! at! the!end!of! 2011! included! 116.$n2009=310.1! priority! patent! applications! (for! more! details.1).S.5)! included! 81.4%! if! compared! with! 2005).9%!if!compared!with! 2010! and! +84.7 6.9! patents.!each!KTO!registered!112.! The!patent!portfolio!is!therefore!clearly!increasing.! registering! a! constant! increase! over! the! surveyed! period! (+194.

$n2009=307.7 2007 2008 157.$n2011=280)$ 90 81.0 69.$n2006=256.!For!those!KTOs! which! registered! IPR! expenditure! in! 2011.$n2007=280.2!K!in!2010!(113.8 72.6%!if!compared!with!2010).! then! increasing! and! decreasing! 136.ProTon!Europe!Ninth!Annual!Survey!Report!(FY!2011)! Figure$3.0 300 250 200 183.$n2008=292.!! Average$IPR$expenditure$(K$Euros) Figure$3.6 139.5 136.6 150 129.9 40 27.$n2008=282.3 166.2 100 50 0 2005 2006 2009 2010 2011 ! Source:#ProTon!Europe!Survey! ! "13"" Each$European$KTO$ invested$on$average$$ $ .$n2009=27.$n2010=272.! the! average! 291.$n2010=240.6 50 40.2).0 2008 2009 2010 52.$n2007=289.!the!average! expenditure!decreasing!from! !2007!! (158.2! K! per! KTO!(table!3.$n2011=278)$ 350 309.5%!if!compared!with!2009)!and!finally! in!2011!(+34.!the!observed!trend!is!ambivalent!in!the!surveyed!period.9 Average$patent$portfolio 80 70 60 67.8 30 20 10 0 2005 2006 2007 2011 ! Source:#ProTon!Europe! ! With!regard!to!the!Intellectual$Property$Right$(IPR)$expenditure!registered!by!European! KTOs!(figure!3.1%).$n2006=284.6$\$Annual$average$IPR$expenditure$$ (n2005=178.5$ $Average$patent$portfolio$as$of$December$31st$of$each$year$$ (n2005=309.6).

! they! are! progressively! achieving! encouraging! results.2)!and!exhibiting!an!ambivalent!trend!in!the!whole!period!surveyed!(FY! 200512011).! However.! table! 3.ProTon!Europe!Ninth!Annual!Survey!Report!(FY!2011)! ! 3.$n2010=271.!each!KTO!concluded!on!average!less!than!8!agreements.!In!particular.! exhibiting! a! progressive! and! dramatic! increase! over! the! period! surveyed! (+20%! if! compared! with! FY! 2010).! licensing! level! (a! total! number!of!5.$n2007=298.0 2009 2010 10 5 2.!in!2011!they!concluded!a!total!number!of!5.!a!decrease!(125.4.2!K! per!KTO!(this!value!rises!to!about! 517!K!by!considering!only!those!KTOs!with!non1zero! values.!with!an!average!number!of!over!29.!!! Average$number$of$licences/options Figure$3.!the! average!number!being!19.! Even! though! European! KTOs! are! still! far! from! reaching! U.3! agreements! per! KTO.5! licences/options).S.2!per!KTO!(the!corresponding!value!in!the!Empirica!survey!for! FY! 2010! being! 14.8)!for!the!European!KTOs!taking! part!to!the!ProTon!Europe!survey!in!2011!is! 90! 333.! ! 14"" .1%)!can!be!observed!in!the!period!200512007.443!contracts:!in!particular.2 12.4 2007 2008 16.129! licences/options! were! executed.$n2006=284.1).4 0 2005 2006 2011 $ Source:#ProTon!Europe!Survey! ! Results! from! the! ASTP! survey! show! similar! performances! (table! 3.! The! average! number! of! licences/options! executed! in! 2010! is! much! higher! if! we! consider! only! those! KTOs! with! non1zero!values:!32.!whereas!European!respondents!to!the!2007!CEMI!survey!registered!a!total!of! 1.0 16.! the! average! number! being! 13! deals! per!KTO.2).6!agreements!per!KTO!(table!3.$Licensing$ licensing$agreements$ in$the$year$ Regarding! the! number! of! licences/options$ yearly$ executed$ (figure! 3.$n2011=286)$ 25 19.1):! in! 2008! a! total! number! of! 1.$n2009=304.7)! by! ProTon! Europe!survey!respondents.$n2008=289.7$\$Annual$average$number$of$licences/options$executed$$ (n2005=123.362!licences/option!executed!in!2010.!table!3.477!deals.! it! is! worth! pointing! out! that! the! European! figure! achieved! in! 2011! ProTon! Europe! survey! is! mainly! attributable! to! the! relevant! annual! licensing! performances! exhibited!by!UK!KTOs.2 20 15 11.! In$FY$2011$each$ European$KTO$ registered$average$ licensing$revenues$for$ $ The!total!amount!of!annual$licensing$revenues!(figure!3.6 12.

5 250 246.9 267.$n2008=285.! by! developing! their! ability! to! support!and!foster!spin1off!creation!(table!3.!figures.! by! registering! a! slight! increase! over! the! last! four! years! (+20.! 3.!in!FY!2010.5!new!firms!per!respondent.0 213.4!and!1.! The! ! Average$licensing$revenues$(K$Euros) Figure$3.8!B.8$ $Annual$average$licensing$revenues$$ (n2005=291.3 200 150 100 50 0 2005 2006 2007 2008 2009 2010 2011 $ Source:#ProTon!Europe! ! Regarding!U.!According!to!the!Empirica!survey.ProTon!Europe!Ninth!Annual!Survey!Report!(FY!2011)! after! which! a! rising! trend! (+56.9!new!firms!per! KTO!(similarly.2 350 300 284.!the!average!number!being!1.9 259.! by! comparing! with! the! figures! from! previous! years.! In! this! respect.7%! if! compared! with! FY! 2007).9!new! spin1offs! per! KTO! (figure! 3.$n2010=239.! These! results! about! the! spin1out! performances! of! European! KTOs! are! particularly! significant! if! we! consider! that! a! total! number! of! 651! spin1offs! were! generated! by! US! KTOs!in!2010!(AUTM!survey).$n2011=270)$ 333.!the!total!number!of!spin\off$companies$created!with!the!support!of!European! KTOs!taking!part!to!the!ProTon!Europe!survey!is!549.$n2006=274.9!M!(table!3.!varying!between!1.! European! KTOs! are! progressively! catching! up.9$new$spin\off$ companies$in$2011$ $ .!the!average!number!being!3.!the!total!amount!of!licensing!revenues!in!2010! 9.! ! we! can! see! that! the! average! number! of! spin1off! companies! started! in! each!year!has!been!quite!stable!over!time.5.! .2).4 280.1)! ! "15"" Each$European$KTO$ created$on$average$ 1.!the!average!number!of!spin1offs!created!by!those!KTOs!which!generated! at!least!one!company!in!each!year!is!quite!stable!in!the!surveyed!period:!3!to!4!spin1off! companies!per!KTO.2%)! has! been! registered! in! the! period! 200712011.9).!the!average! number!of!spin1offs!created!per!annum!was!3.1!companies.!table!3.$n2007=292.$n2009=272.S.1).$Spin\offs$ In!2011.

$n2006=293.$n2010=139.6 1.1 10.0 10 8.1$ active$spin\offs! 14 11.$n2011=110)$ Average$number$of$active$spin\offs For$each$European$KTO$ the$average$number$of$ active$spin\offs$at$the$ end$of$FY$2011$is$11.9$ $Average$number$of$spin\off$companies$created$per$year$$ (n2005=319.$n2011=288)$ Average$number$of$spin\offs 2 1.!table!3.$n2007=296.ProTon!Europe!Ninth!Annual!Survey!Report!(FY!2011)! ! Figure$3.4%!if!compared!with!FY!2005!and!! 15.218.2).!exhibiting! a!progressive!increase!over!the!period!surveyed!(+35.! Figure$3.5 1 1 1 1 1 0 0 0 2005 2006 2007 2008 2009 $ Source:#ProTon!Europe! ! The!total$number$of$active$spin\offs$(figure!3.1 8 6 4 2 0 2008 2009 2010 2011 ! Source:#ProTon!Europe!Survey ! 16"" .6 1.4 2006 2007 9.4 1.9%!if!compared!with!FY!2010).$n2007=297.2 8.1! active! companies! per! KTO! (12.$n2009=307.10$ $Average$number$of$active$spin\off$companies$as$of$December$31st$$ (n2006=200.4! active!spin1offs!by!including!in!the!sample!just!the!non1zero!values.! the! average! being! 11.9 2010 2011 1.10)!created!by!ProTon !respondents!as!of! December! 31st! 2011! is! 1.$n2009=285.$n2008=293.8 2 2 1.$n2008=280.8 12 11.$n2010=170.9 1.

! 8.a.8! 1.! n.7! 112.a.4! 19.! 52.! 9.!where:!(ur)!universities!and!research!institutes.7! n.730! 21.059.2! 11.0! 14.827! 20.0!Ku! ! ! ! ! 90!M! 2!K! ! ! 8!B! ! 7!M! 549! 473! 549! 377! 228! 1.3! 29.0! 9.! 715.8! 14.6! 70.a.310! 22.a.a.9! 3.a.6! 16.! n.1u! 2.180! 3.7! 10.$Empirica$GmbH$and$AUTM:$a$comparison$ 2007$ 2009$ 2011$ 2007$ 2008$ Empirica$ GmbH$(Iii)$ 2010$ 323! 320! 329! 140! 99! 402ur! 194! 181! 186! 11.061u! 11.856! ProTon$Europe(i)$ Overall$Figures$ FY$ Number!of!survey! respondents! Average!KTO!age!(years)! Total!KTO!staff!(FTEs)! Average!staff!(FTEs)!per!KTO! Total!disclosures! 5.051! 12.358! 1.328! 5.5! 3.a.a.1! 66.! n.0u! 18.309! 21.5u! 26.! n.373! u 10.9! n.a.a.!Licensing!Activity!Survey!(FY!2007111).9 ! 102.9! 2.477! 1.38! 1.4! 1.925.$CEMI.271! 10.041u! 555! 596! 671! 1.0! 14.091.! !202.!! (iii)!Empirica!GmbH!(FY!2010).Table$3.985! 1.a.a.0! 13.3! n.2! 117.S.9! n.6! Sources:#(i)!ProTon!Europe!Survey!(FY!2007111).872! 5.820u! 5.!(u)!universities!only.! n.! (iv)!AUTM!U.9! n.0! 14.a.9! 10.4! 32.!(ii)!Final!results!of!the!ASTP!Survey!(FY!2006108).945! n.8! 8.a.! n.5! 1.6! 81.! n.6! 11.9! 71.5! 3.5! 1.4! 38.303! 3.! 3.$ASTP.197.797! 12.768! 4.109! 13.982! Average!disclosures!per!KTO! Total!priority!patent! applications! Average!priority!patent! applications!per!KTO! Total!patent!portfolio! Average!patent!portfolio!per! KTO! Total!licences/options! executed! Average!licences/options! executed!per!KTO! Total!licensing!revenues!! Average!licensing!revenues! per!KTO!! Total!spin1offs!created! Average!spin1offs!created! per!KTO! 6.7! 36.! n.300 ! u AUTM$(iv)$ 2007$ 2009$ 2011$ 20.151.! 19.a.9! 13.5! n.039! ASTP(ii)$ 6.203.a.a.129! 4.8! 14.227! 3.5! ! n.4! 9.4! 14.4! 7.9! 22.8! 1.a.a.8! 2.3! 14.3! 3. ! ! .a.1$\$ProTon$Europe.3!Mu! ! n.5! 1.! n.! n.a.328! 6.! n.337! 5.! n.7! 29.! n.! 1.109! 5.4u! 61.! 1.2! 19.3! 8.a.

4! 21.5! ! ! ! ! .6! 81.7! 8.4! 9.2! 32.4!K! ! ! ! ! ! ! ! ! ! ! ! ! ! ! 1.2! 20.9! 9.4!K! ! ! " " " # ! ! ! ! 18.5! 11.3! 26.4! 11.3! 13.0! 101.!FY!2006.6! !280.8! 14.3! 27.0! 14.8! 17.2K! ! ! ! ! ! ! ! ! ! ! 11.7! 7.4! Source:#ProTon!Europe!Survey.! Table$3.3! 8.7! 13.1!K! All$KTOs$ (n=329)$ Non\zero$ values$ ! ! 8.9! 3.9! 116.1! 1.1! 12.0! 28.8! ! ! ! ! !608.8! 9.2! 10.4! 31.0! 102.4! 19.5! 653.3! 1.3! 67.0! 19.2!K! .2! 12.9! 28.7! 9.2! 11.0! 40.6! 2.2$\$ProTon$Europe$Annual$Survey$fact\sheet$ FY$2006$ Average$figures$ Characteristics"of"the" KTOs:" Average!staff!(FTEs)!per! KTO! Average!KTO!budget!! IP"management:" Average!disclosures!per! KTO! Average!priority!patent! applications!per!KTO! Average!active!patent! portfolio! Average!IPR!expenditure! per!KTO!! Licensing:" Average!licences/options! executed!per!KTO! Average!licensing!revenues! per!KTO!! SpinCoffs:" Average!spin1offs!created! per!KTO! Average!active!spin1offs! per!KTO! FY$2008$ FY$2011$ FY$2010$ All$KTOs$ (n=325)$ Non\zero$ values$ All$KTOs$ (n=305)$ Non\zero$ values$ All$KTOs$ (n=295)$ Non\zero$ values$ ! ! ! ! ! ! 8.6! 3.8! 22.0! 72.1! 19.9! 1.7! 16.9! 3.1! 13.!2010!and!2011! ! ! 1!18!1! .9! 8.!2008.3! 8.0!K! !458.4! 11.7! 7.9! 65.

9%).! IPR! expenditure! (+34.! the! number! of! active! spin1offs! decreased! (1 13.$Performance$indicators$$ Summing!up.6.! invention! disclosures! (+16.8%).!licensing!revenues!(+18.! Over! the! last! two! years! surveyed.! licences/options! yearly! executed! (+16%).! new! spin1offs! created! (+25.9%).! Trends$are$similar.9%).3%).! licensing! revenues! (+ Again.6%).$even$ if$average$values$are$ physiologically$higher.11).ProTon!Europe!Eighth!Annual!Survey!Report!(FY!2011)! 3.! each! KTO! increased! staff! (+7.!in!the!last!two!years! surveyed.! priority! patent! applications! (+26.!the!results!from!the!ProTon!Europe!surveys!carried!out!at!European!level! (by! including! in! the! sample! all! responding! KTOs)! show! that! for! most! of! the! main! KT! indicators! the! average! values! increased! in! the! period! 201012011! (figure! 3.!In!particular.! each! KTO!registered!increasing!average!values!with!regard!to!their!IPR!expenditure!(+39.! invention! disclosures! (+18.1%).8%).9%)!and!the! new!spin1offs!yearly!created!(which!did!not!change).9%).9%).12).! licences/! options! yearly! executed!(+20%).! The! exceptions!are!represented!by!the!number!of!active!spin1off!companies!(15.! priority! patent! applications! (25.$ by$including$in$the$ sample$just$non\zero$ values! ! ! ! ! ! 19" .! Most$of$the$main$ indicators$of$KT$the$ average$values$ increased$sharply$in$the$ period$20101! Trends!are!similar!1!even!though!average!values!are!higher!1!by!including!in!the!sample! only! KTOs! with! non1zero! values! (figure! 3.

11$\$Evolution$of$ProTon$Europe$main$indicators$about$KT$activities$in$the$period$2010011:$average$values$(all$KTOs)$ +18.0%! 20 15 15.! Figure$3.8%! 2010 2011 10 0.9%! +7.0%! 5 0 ! $ $ of fs in 1 e! sp of fs in 1 Lic e Source:#ProTon!Europe!Survey! Sp nc es / $ Ac tiv !cr ea te d ns op $ tio ns lic at io !p at e nt !ap p sc lo s Pr io r ity tio ve n In KT Os '!!s n! di ta ff! (F TE s ur es ) $ .9%! +26.1%! 25 +34.9%! Average!values!(all!KTOs) 35 30 +16.6%! +20.

0%! +39.9%! +25.9%! 30 ) Average$values$(non\zero$values) Figure$3.9%! 20 +9.0%! 2011 +25.9%! 50 +18.3%! 40 2010 113.12$\$Evolution$of$ProTon$Europe$main$indicators$about$KT$activities$in$the$period$2010011:$average$values$(non\zero$values)$ .! $ $ 60 +12.8%! 10 0 Source:#ProTon!Europe of fs in 1 !sp of fs in 1 Sp ! Ac tiv e !cr ea te d ns op nc es / ! tio ! Lic e t!a pp lic at io ur es Pr io r ity tio ve n In !p at en n! di sc lo s (F TE s ta ff! '!!s ns ! KT Os ! +16.

3! patents).$International$benchmark$$ Finally.!aimed!at!comparing!the! performances! achieved! by! KTOs! localized! in! different! geographic! contexts! is! hereafter! proposed!(table!3.! We! are! aware! that! the! availability! of! data! drawn! from! such! a! heterogeneous! set! of! contexts! makes! it! difficult! to! carry! out! tout# court! comparisons.!CEMI1EPFL!(2007)!and!Empirica!GmbH!(2010).! UK! KTOs! filed! on! average! 14.!including:!ProTon!Europe!(FY!2011).! With!regard!to!the!results!of!different! national$surveys$carried$out$at$European$level.!Italian!and! Irish! KTOs! presented! respectively! 6.6! patents).S.!in!the!other!regions.! whereas! for! Danish! KTOs! the! average! volume! was! significantly! smaller! (8.! whereas! Spanish! and! Danish! ones! filed! on! average! about! 10! applications.4! invention! disclosures.!we!have!also!to! keep!in!mind!that!while!in!the!U.!Denmark.!as!well!as! the!Danish!ones!(4.!the!focus!is!mainly!on!the!TT.! The! corresponding! data! for! French! KTOs! in! 2007! was! 3.3!FTEs!in!2007.3! priority! patent! applications.3).! By! considering! the! average! performances! in! the! disclosing1patenting1licensing! valorisation! channel.! Italian!and!Irish!KTOs!are!quite!young.!their!average!age!being!respectively!about!6!and! 5! years.! 3.! Italian! KTOs! registered! 9.9!years!for!Danish!KTOs.!Belgium! and! UK.! among! which:! US! and! Canada! in! North! America.!whereas!Spanish!KTOs!are!significantly!bigger!(about! 12.7! invention! disclosures! for! Irish! KTOs.! regarding! 2010)!is! presented! and! compared! with!the! corresponding! results! of! multi1country!surveys!carried!out!at!European!level.!18.7! invention! disclosures!for!Spanish!TTOs!and!over!26!invention!disclosures!for!both!Danish!and!UK! KTOs.!French!KTOs!were!employing!on!average!6.!Ireland.! by! including! in! the! research! focus! also! empirical! evidence!referred!to!South1East!Asia!and!Australia.5!for! UK! 4!FTEs!per!KTO).!In!our!comparison.!an!attempt!at!presenting!an!international$benchmark.! On!average!the!active!patents!held!in!portfolio!as!of!December!31st!2011!by!Italian!KTOs! were! 55.3! and! 5.! However.8!FTEs!per!KTO).7! patents)! and! greater! than! the! Irish! result! (35.4! applications.!China.! Regarding!the!average!number!of!priority!patent!applications!filed!in!2011.!Japan!and!South!Korea!in!South1East!Asia!and!Australia!in!Oceania!(even! if!sometimes!referred!to!different!reference!years).!In!particular.7.9!years!for!Spanish!and!17.7.3! priority!patent!applications!per!KTO.! UK! KTOs! exhibit! the! biggest! ! 22" .! whereas! the! corresponding! result! was! 15.! 20.! ASTP!(2008).! The! corresponding! average! age! emerging! from! other! national! surveys! carried! out!at!European!level!is!12.! Such! a! result! is! similar! to! the! corresponding! data! for! Spanish! KTOs! (62.! the!focus!is!on!KT.!Spain.! the! overall! dataset! represents! a! great! source! of! information! and! best! practices! of! different! KT! models!existing!in!different!regions!of!the!world.! The! following! step! has! been! represented! by! the! analysis! of! the! empirical! evidence! regarding! other! non1European! countries.7!FTEs!per!KTO).!allowing!us!to!overcome!the!traditional! Euro1American! scope! of! the! analysis.!the!empirical!evidence!obtained!by!different!national! surveys!carried!out!at!European!level!(namely!in!Italy.!French!KTOs!registered!on!average!3.6!invention!disclosures!in!2007.

6! new! companies! in! the! year.!while!Spanish!ones!concluded!on!average!3.9!active!patents.1! patents).! while!UK!KTOs!concluded!about!31.! an!average!number!of!1.!On!average.! Concerning! the! empirical! evidence! obtained! by! the! different! multi\country$ surveys$ carried$ out$ at$ European$ level! (namely! ProTon! Europe.! ASTP.!very!close! to! the! average! size! of! the! 211! KTOs! responding! to! the! 2007! CEMI1EPFL! survey! (10.! Italian.! Irish! and! UK! KTOs! created!on!average!3.! regarding! the! average! number! of! new! spin1off! companies! created! in! 2011.5!new!spin1offs.!the!average!age!of!the!329!KTOs!responding!to!the!2011!ProTon!Europe!survey! is! 14! years.8!priority!patent!applications.7!licences/options.7!invention!disclosures!and!filed!13.7!FTEs.3! FTEs.!the! !14!years.! CEMI1EPFL! and! Empirica! GmbH).8!new!spin1offs!gemmated!in!2010.2!and!1.8! FTEs).! $ $ $ $ $ $ $ $ ! 23" .2!and!7.! Danish! KTOs! generated! 0.! Also! for! the! 402! Empirica! GmbH! respondents!(including!both!universities!and!research!institutes)!to!the!2010!survey.!the!99!ASTP!respondents!to!the!FY!2008!survey! were!on!average!9!years!old!and!employed!an!average!number!of!10.!From!Spanish!KTOs!.7!agreements.!1.!Respondents!by!country!and!type!of!PROs! average! number! of! active! patents! at! the! end! of! the! year! (104.! respondents! to! 2010! Empirica! GmbH! survey! registered! 29.6!licences/options!respectively!in!the!year.!! Regarding! disclosing! and! patenting! activities.! On! average.!in!2011!Italian!KTOs!executed!an!average!number!of! 1.!The!corresponding!result!for! French!KTOs!in!2007!was!1.! The!corresponding!value!for! 2007.4! K! for! Italian! 42.4.9! 482.4! priority! patent! applications! per! KTO.7!contracts.7!spin1offs!per!KTO!respectively.9! invention! disclosures! and! filed! 14.! The! results! obtained! by! the! ASTP! survey! show! that! on! average! in! 2008! the! responding! KTOs! registered!36.! the! evidence! provided! by! the! ProTon! Europe! survey! shows! that! on! average! in! 2011! European! KTOs! registered! about! 22.!each!French!KTO!concluded! in!FY!2007!1.! their! average! size! being! 8.3!licences/options.! With!regard!to!licensing!activities.! The! average! amount! of! licensing! revenues! registered! in! FY! 2011! is! 31.!Irish!and! Danish!KTOs!registered!on!average!4.! The! average! patent!portfolio!of!French!KTOs!at!the!end!of!2007!included!32.!At!the!end!of!the!year.! the! respondents! were! holding! an! active! patent! portfolio! including! on! average! 81.1!K!for!Danish!ones.2.4! invention!disclosures!and!filed!11.! Finally.7! 647.!Instead.8!priority!patent!applications.9! patents.

ProTon!Europe!Eighth!Annual!Survey!Report!(FY!2011)! ! ! 24" .

9l! Total!priority! patent! applications! 319a! 612c! 171d! 139e! 2.7c! 12.3h! 10.7e! n.2e! 31.a.6e! 104.074f! 115g! 5.7i! n.7g! 19.7c! 7.0l! Italy$ Spain$ Denmark$ Ireland$ age!(years)! (FTEs)! 3.a.337h! 3.! 10.9f! 3.4h! 36.7i! 10.3g! 333.8k! 14.2k! n.a.a.5l! Total!licensing! 2.! 5.! n.2f! 8.! 6.a.091.0h! 89.4a! 823.2e! 1.477h! 1.5h! 1.a.6e! n.358h! 1.a.8h! 13.820l! Average! 1.6d! 4.3i! 2.9h! n.222f! 233g! 6.2j! n.443k! 4.203.300l! Average! disclosures! 9.059.a.! Total! 66.! 77.328i! n.! Totale!! disclosures! 468a! 1.9h! 2.! n.8c! 0.3$ $Some$performance$indicators$from$surveys$about$the$valorisation$of$ Europa$ National$surveys$ European$surveys$ $$ 2011$ 2011$ 2011$ 2011$ 2011$ 2007$ 2011$ 2008$ 2007$ Empirica$ GmbH$ 2010$ 6.! 202.256f! 259g! 3.061l! Average!priority! patent! applications! 6.4c! 9.7f! 1.7f! 1.9c! UK$ France$ ProTon$ ASTP$ CEMI$ 1.3l! 647.! 715.9c! 12.! n.945h! n.5i! 4.7e! 26.! 14.! 29.5!g! 1.a.282c! 365d! 407e! 4.1f! 32.345f! 2.8d! 3.! 14.2j! n.3d! 35.6d! 1.7a! 62.3e! 14.a.787a! 3.3g! 8.! 482.4a! 42.129i! 1.5a! 18.! 14.1l! ! 25" .2b! 1.a.7c! patent!portfolio! 8.269g! 22.7c! 4.4l! Total!active! 2.7f! 130.1d! n.5f! n.3a! licences/options!! 3.2d! 5.! 583g! 12.4!a! 20.1d! 15.0i! 7.! ! Total!spin1offs! yearly!created!! 164b! 111c! 8d! 31e! 266f! 99g! 549h! 228i! 640k! 1.8k! n.! Average!active! 55.8i! n.a.373i! n.9d! 4.3g! 11.7d! 78.a.7c! 26.a.0l! 201.0i! n.4.9g! 81.! n.a.2h! 929.041l! Average!spin1 offs!yearly! created! 3.8!a! staff!(FTEs)! ! Average! licensing! 1.a.6e! 17.3!a! 9.a.0a! licences/options!! 230c! 107d! 109e! 5.a.5g! 90.3c! 66.1k! 3.0h! 9.2h! 13.4f! 3.a.1d! n.697c! patent!portfolio! 116d! 926e! 16.!Respondents!by!country!and!type!of!PROs! Table$3.6g! 22.a.2a! 31.

S.4w! 11.8v! 4.3o! 11.099t! 6.! it! is! worth! noticing!that!the!reference!year!reported!on!the!top!of!each!column!of!table!3.2y! n.a.! 11.0!ab! 1.! n.721w! 951y! 502ab! Average! licences/options!! 29.2ab! $$ (years)! (FTEs)! (FTEs)! Totale!disclosures! Total!licensing! ! Average!licensing! ! Total!spin1offs!yearly! created!! Average!spin1offs! yearly!created! ! # !!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! 2 !The!table!reports!the!most!recent!value!available!for!each!indicator.4ab! 671obis! 68rbis! 4.a.3y! 1.1o! 23.7w! 84.8obis! 48.4aa! 0.! 96.482w! n.9t! 26.8z! 9.a.a.2ab! Total!active!patent! portfolio! n.! n.5o! 1.! 116.0x! 0.a.! Detailed! information! about! the! indicated! near! each! indicator! and! reported! below.419u! 140x! 47aa! 15ab! 3.051obis! 578rbis! 1.5m! 12.8w! n.! ! 26" .9rbis! 60.$ Canada$ Asia$ China$ Oceania$ $ South$ Korea$ Japan$ Australia$$ $ 2011$ 2011$ 2010$ 2010$ 2007$ 2010$ 18.3t! 46.! 46w! n.! n.271obis! 849rbis! 54.a.8ab! 9.a.571t! 3.a.856obis! 1.!However.a.866.4t! 45.604w! n.9q! 14s! 15.ProTon!Europe!Eighth!Annual!Survey!Report!(FY!2011)! ! results$from$public$research$at$international$level2$ America$ U.951.821rbis! n.!within!each!column!also!less!recent!data!may!be!reported.182t! 6.2r! 1.8ab! Total! licences/options!! 6.3y! 13.a.! 1.!Average!values!have!been! calculated! by! including! in! the! data! processing! all! the! KTOs! responding! to! the! different! surveys! (both! zero! and! non1zero! values).092n! 354rbis! 969s! 616v! 696z! 681ab! 11.2r! 142.705ab! Average!disclosures! 112.8o! 43.5u! 4.2p! n.! 23.8y! 72.! 4.004ab! Average!active! patent!portfolio! n.! 6.a.! Basing! on! these! considerations.2r! 73.0n! 9.a.! even! if! referring! to! the! same! country.373w! 7.! 152.! The! reference! year! for! each! value! can! therefore! vary! among! different! indicators.4w! 6.3!just!refers!to!the! most! recent! year! about! which! information! is! available! for! each! geographic! context! included! in! the!analysis.326y! 948ab! Average!priority! patent!applications! 67.2w! 52.8y! 7.5ab! 21.011.7t! 10.! 2.7ab! Total!priority!patent! applications! 13.4t! 73.a.3r! n.127.2r! 65.1o! 1.

!Research!report.#National#Survey# of#Research#Commercialization#(2010N2011).! N.!(i)!Association!of!European!Science!and!Technology!Transfer! Professionals! 1! ASTP! (2010).! .!Research!report!(FY!2010.! Vol.! Executive! summary! (FY! 2006.# Intellectual# Property# Report# of# Chinese#Universities.!Research!report!(FY!2010.!Science!and!Research!(2013).! Research!report!(FY!2011.! (l)! Empirica! GmbH! (2012).!n=37).! Research! report! (FY! 2011).! Memoria# RedOTRI# 2011.#Survey#Summary.!Executive!summary!(FY!2007.!(r)!AUTM!(2011).#Licensing#Activity#Survey#Highlights#FY#2011.!n=194).! Executive! summary! (FY! 2008.! Chinese# University# Technology# Transfer.! (k)! École! Polytechnique! Fédérale! de! Lausanne! (EPFL)! 1! College! du! Management! de! la! Technologie! 1! Chaire! en! Economie! et! Management! de! 1!CEMI!(2008).! n=121).! 2010# Irish# Commercialization# Survey.!n=141).!The#CEMI#Survey#of#University#Technology#Transfer#Offices#in#Europe.!n=26).# Survey# Summary.! Science! and! Technology!1!MEXT!(2011).3!Europe:!national!surveys:!Italy:!(a)!Netval!(2013).! Final# results# of# the# ASTP# Survey# for# Fiscal# Year# 2007.!Executive!summary! (FY!2011).S.#State#of#University#Technology#Transfer#in#Japan.!Executive!summary!(FY!2008.! University!TLO! .! Executive! summary! (FY! 2010.! Inderscience! Enterprises! Ltd.! n=402).! South# Korea:! (y)! Korea! Association!of!University!Technology!Transfer!Management!1!KAUTM!(2009).!Les#activités#de# recherche# contractuelle# et# de# transfert# de# technologie# dans# les# établissements# français# Enquête# 2006/07.!n=329).! Research! report! (FY! 2007.#FY#2010.! research! report! (FY! 2005.# Summary.! appliquée!1!BETA.! 1/2.!Centre!Nationale!de!la!Recherche!Scientifique! 1!CNRS!(2010).# Licensing# Activity# Survey# FY# 2007.!Research! report!(FY!2010.!(b)! Piccaluga! A.!n=191).! Research! report! (FY! 2007.!et#al.! Sports.! Technology! and! Innovation! ! DASTI! (2012).# Licensing# Activity# Survey# FY# 2010.! n=99).! Higher# Education# N# Business# and# Community# Interaction# (HENBCI)# Survey# 2010N11.! AUTM# U.! Research! report! (FY! 2007.! Executive! summary! (FY!2011).! (q)! AUTM! (2009).! The#Survey# on# the# Technology# Transfer# of# Public# Research# Institutes.:! (m)! Association! of! University! Technology! Managers! 1! AUTM! (2008).!Respondents!by!country!and!type!of!PROs! # Sources#Table#3.!(2009).S.! n=569).! n=145).! (rbis)! AUTM! (2013).!Research!report!(FY!2011).#Survey# Summary.! Oceania:! Australia:! (ab)! Australian! Government!1!Department!of!Innovation.S.! 3.! Research! report! (FY! 2005.! Research!report!(FY!2011).#FY#2010.! n=39).! Summary# Respondent# Report:# ASTP# Survey# for# Fiscal# Year# 2008.! data! base! (FY! 2010.!AUTM#U.#FY#2010.! European$ surveys:! (h)! ProTon! Europe! (2013).S.! Technology! and! Innovation! ! Danish! Agency! for! Science.! Ireland:# (e)! Enterprise! Ireland! (2011).! n=211).#Survey#Summary.!Proceedings#of#the#International#Patent#Licensing#Seminar# 2009.!Industry.!(u)!Ministry!of!Education!(MOE)! of! China! (2007).! Public# Research# Commercialisation# Survey.!Basic# Survey# Report# on# University# Ventures.! Tokyo! (FY! 2007.! n=40).!Executive!summary!(FY!2008.! n=140).!AUTM# U.! n=140).!AUTM#U.! n=35).! n=69).!Trade!and!Industry!1!METI!(2006).! January! 19120.!(t)!Science!and!Technology!Development! Center! (TDC)! of! Ministry! of! Education! (MOE)! of! China! (2011).! Research!report!(FY!2010.# Survey# Summary.! Respondent# Report# of# the# Knowledge# Transfer# Study# (FY! 2010.!n=72).! Denmark:! (d)! Ministry! of! Science.!UK:!(f)!Higher!Education!Funding!Council!for!England! !HEFCE! (2012).!AUTM#Canadian#Licensing#Activity#Survey#FY#2006.!(n)!AUTM!(2009).!France:!(g)!Université!de!Strasbourg.# Research! report! (FY! 2006.# Survey# Summary.!n=827).! AUTM# Canadian# Licensing# Activity# Survey# Highlights# FY# 2011.! (z)! Korea! Government! 1! Ministry! of! Commerce.! AUTM# Canadian# Licensing# Activity#Survey#FY#2008.! AUTM# Canadian# Licensing# Activity# Survey# FY# 2010.# Denmark# 2011.!(o)!AUTM!(2011).! n=183).! (2011).S.! Balderi! C.! (obis)!AUTM!(2013).! The# ProTon# Europe# Ninth# Annual# Survey# Report# (FY# 2011).# Intellectual# Property# Report# of# Chinese# Universities.! (j)! ASTP! (2008).!(x)!Japan!Ministry!of!Economy.! Japan:!(v)!Senoo!D.! (w)! Japan! Ministry! of! Education.! International# Journal# of# Knowledge# Management# Studies.! Official# Statistics.! (aa)! Small! &! Medium! Business! Administration! 1! SMBA! (2007)..! America:! U.! n=39).! n=111).! Spain:! (c)! RedOTRI! Universidades! 1! CRUE! (2013).!! ! 27" .! Culture.! Industry! and!Energy! 1! MOCIE!(2005).#Licensing#Activity# Survey#FY#2008.! Executive! summary! (FY! 2010.!Canada:!(p)!AUTM!(2007).! ! Asia:! China:! (s)! Science! and! Technology! Development! Center! (TDC)! of! Ministry! of! Education! (MOE)! of! China! (2011).! (FY! 2004.! Database! (FY! 2006.4.! Executive! summary! (FY! 2011).

!The! average! number! of! new! spin1offs! created! by! the! KTOs! responding! to! the! CEMI1EPFL! survey! in! FY! 2007! was! 4.3!invention!disclosures!and!filed!23.! whereas! KTOs! monitored! by! Empirica! GmbH!survey!created!on!average!3.!KTOs!in!2010!is!29.9! M.2! contracts.! According! to! the! AUTM! results.! from! AUTM! results.! and! 1! even! more! 1! with! ProTon! respondents! (whose! KTOs! have! a! wider! range! of! responsibilities).2!priority!patent!applications.! if! compared! with! ASTP! and! CEMI! respondents.!KTOs!average!age!was!18.!The!average!age!emerging!from! the!Canadian!survey!(2006)!was!12.!7.!the!main! focus! is! represented! by! licensing! activities.!while!the!average!value!of!the!royalties!obtained! .! This! consideration! could! help! in! partially! explaining!the! better! performances! of! AUTM! respondents.2!K.1!M.5!new!companies.5!new!firms.! Regarding!disclosing!and!patenting!activities.! regarding! the! number! of! new! spin1off! companies! yearly! created.2! agreements.S.!while!the!corresponding!result!achieved! by! the! Canadian! KTOs! in! the! same! year! is! 11.S.! From! the! results! obtained! by! the! AUTM! Canadian! survey.! ! ! ! 28" .!it!is!worth!pointing!out!that!for!American!KTOs.8!agreements! according!to!the!CEMI1EPFL!survey!(FY!2007)!and!14.! the! U.! In! particular.! the! average!licensing!income!in!2010!is! !715!K.! respondents!to!the!AUTM!survey!in!2010!generated!on!average!3.S.! The! average! amount! of! licensing! revenues! registered! in! 2010! by! the! U.! By!considering!the!empirical!evidence!regarding!North$America!provided!by!the!annual! surveys!carried!out!by!AUTM.5! years!and!their!average!size!in!2008!was!about!10!FTEs.S.1!new!spin1off!companies!in!2010.!U.! The!average!amount!of!licensing!revenues!registered!in!FY!2011!by!the!respondents!to! 333.8!invention!disclosures!and! filed! about! 67.9!new!firms.3!contracts.! Finally.!survey.! it! emerges! that! on! average! in! 2010! (n=40)! the! responding! KTOs! registered!43.! while! the! average!value!of!the!royalties!obtained!by!the!Canadian!respondents!in!the!same!year!is! 1.!whereas! the!corresponding!result!about!Canada!in!the!same!year!is!1.1! priority! patent! applications.! Finally.!their!average!size!being!9.! according! to! Empirica! GmbH.S.!whereas! the!corresponding!result!from!the!ASTP!survey!in!FY!2008!was!2.! the! average! number! of! licences/options! executed! by! responding!U.2!new!companies!per!KTO.! the! respondents!to!the!ProTon!Europe!survey!generated!on!average!1.!In!2007.! while! the! corresponding! results!include!13!agreements!according!to!the!ASTP!survey!(FY!2008).1! new! firms! per! KTO.!the!evidence!provided!by!the!AUTM!survey! shows!that!on!average!in!2010!US!KTOs!registered!about!112.9!FTEs!in!FY!2008.! KTOs! is! 9.5!according!to!the!Empirica!GmbH! results!(2010).! the! average! number! of! licences/options! executed! by! responding! KTOs! in! FY! 2011! is! 19.2!years.ProTon!Europe!Eighth!Annual!Survey!Report!(FY!2011)! ! According! to! the! ProTon! Europe! results.! it! emerges! that! 183! KTOs!participated!to!the!FY!2010!U.! regarding! the! number! of! new! spin1off! companies! created! in! FY! 2011.

2!priority!patent!applications.!Respondents!by!country!and!type!of!PROs! The!empirical!evidence!obtained!by!different!national!surveys!carried!out!in!the!South\ East$ Asian$ region! (regarding! China.!shows!that!on!average!in!2011!national!KTOs!employed! 9.!being!4.4.!Trade!and!Industry!(METI)!created!on!average!4!new!firms.! Industry.! patenting! and! licensing! activities.!At!the!end!of!the!year.2!new!firms.!Sports.!Chinese!KTOs! were! holding! an! active! patent! portfolio! including! on! average! 116.! on! average! in! 2007! national! KTOs! filed! 52.4!priority!patent!applications.5!FTEs.! The!average!volume!of!their!patent!portfolio!at!the!end!of!the!year!included!46.! the! empirical! evidence! obtained! about! Australia! by! the! survey! (n=72)! carried! out! by! the! Australian! Government ! Department! of! Innovation.! The! average! number! of! licences/options!executed!by!Chinese!KTOs!in!2010!was!about!1.!while! 1!M.!Australian!KTOs!were! holding!an!average!active!patent!portfolio!including!152.! Regarding! South# Korea.! Finally.8! licences/options.!Finally.3! priority! patent! applications! and! executed! about! 6.7! K! per! KTO.! Regarding!disclosing!and!patenting!activities!in!China.!on!average!in!2010!national!KTOs! (n=827)!filed!about!65.!Culture.! From! the! evidence! available! about! disclosing.!were!employing!in! FY!2005!an!average!number!of!4.!while!for!Japanese!ones!the!average!size!in! FY!2004!was!15.8!FTEs.! while! in! the! same! year! the! average! amount! of! licensing! revenues! is! 73.!Science!and!Research.8!active! patents.! ! ! 29" .!in!2010!the!respondents!to!the!survey!carried!out!by!the! Chinese!Ministry!of!Education!(MOE)!generated!on!average!142.! regarding! Oceania.3! patents! (mostly! issued! by! the! Chinese! patent! and! trademark! office).2! priority! patent! applications.! it! emerges!that!on!average!in!2011!Austrialian!KTOs!registered!23.!Science!and!Technology)!survey! (n=141)! registered! 46! invention! disclosures! and! filed! 45.! Japan! and! South! Korea)! shows! that! on! average! Chinese!KTOs!employed!14!FTEs!in!FY!2010.8!FTEs.!The!average!number!of!licences/options!executed!by!Japanese!KTOs!in!2010!is! 26.2!years!old!in!FY!2007.! regarding! spin1off! creation.! in! 2009! each! Australian! KTO! generated! on! average! 0.!At!the!end!of!2010.0!contracts.! Finally.5!new!firms!per!KTO.! while! the! average! amount! of! generated!on!average!4.9!contracts.! In! 2005! the! respondents! to! the! survey! carried! out! by! the! Japanese! Ministry!of!Economy.!! The!evidence!available!about!Japan!shows!that!on!average!in!2010!KTOs!responding!to! the!MEXT!(Japan!Ministry!of!Education.!while!the! average!amount!of!licensing!revenues!registered!in!the!same!year!was! 73.4!K.7!invention!disclosures! and!filed!13.!Korean!KTOs.8!patents.4! contracts.3!new!firms!per!KTO.! regarding!the!spin1off!activities.!The!average!number! of!licences/options!executed!by!Australian!KTOs!in!2009!was!about!7.

5%! of! the! sample.0! 0! 0..0! 0! 0.3! 1! 0.! Spain! and! Italy! represent! lower.1.$with$UK$KTOs$ accounting$for$ 49..5! 7.!All!five!countries!have!well! organised!KTOs!and!national!networks.! Spain! (n=65).0! 0! 0.! Finally.! .3! 24! 7..3! 0! 0.! .$Respondents$$ by$country$and$type$of$PROs$ ! As!shown!in!table!4.$from$5$European$ $ In! particular.! accounting! respectively! for! 19.3! 13! 4.0! 0! 0.! Ireland! (n=26)! and! Denmark!(n=14)!and!they!do!represent!a!nice!mix!of!countries!which!are!at! different!stage!of!development!of!KT!practices.0! 0! 0.5! 26! 8.9! 14! 4.1$ $Respondents$by$country$(2011)$ Countries$ United!Kingdom! Spain! Italy! Ireland! Denmark! Total#n# n$ 163! 65! 61! 26! 14! 329# UK! ES! IT! IE! DK! %$ 49.9! 4.0! 0! 0.!providing!information!about!FY!2011.0! 2011$ n$ %$ 163! 49.7! 1! 0.8! 61! 18.0! 1! 0.0! 0! 0.5! 63! 20.5%! of! the! sample.3! 1! 0.3%!respectively!(figure!4.! UK! provides! the! highest! contribution! to! the! survey.8! 61! 18.8! 61! 18.8! 18.5! 61! 20.0# Source:#ProTon!Europe# $ Respondents! to! the! 2011! ProTon! Europe! survey! operate! in! five! countries! (table! 4.! still! consistent! shares.8! 13! 4.8%! and! 18.9%!and!4.9! 0! 0..0! 0! 0.5! 26! 7.5! 65! 19.1).0! 0! 0.! Ireland! and! Denmark! contribution! to! the! 2011! sample! of! the!ProTon!survey!is!7.3! 2008$ N$ %$ 160! 52.3! 0! 0.!329$KTOs$have$participated$to$the$last$ProTon$Europe$ Survey.4! 4! 1.8! 1! 0.2$\$Respondents$by$country$(FY$20061)$ Country$ UK! Spain! Italy! Ireland! Denmark! Belgium! Portugal! Germany! France! Greece! Finland! Austria! UK! ES! IT! IE! DK! BE! PT! DE! FR! EL! FIN! AU! 2006$ N$ %$ 162! 49.2! 1! 0.0! .5%$of$the$sample$ Table$4.3! 5! 1.! 329$responding$ KTOs$in$20 $ Table$4.2):! UK! (n=163).5! 19.6! 2! 0.0! 0! 0.3! 3! 0.3! 100.3! 0! 0.! 4.4! 4! 1.7! 54! 17.7! 1! 0.0! 0! 0.0! 0! 0.0! ! 30" 2010$ N$ %$ 130! 43.! accounting! for! 49.0! 0! 0.! Italy! (n=61).8! 61! 20.3! 1! 0.

0# 0! 329# 5! 329# 0.!Turkey.! Belgium.! Spain.4.!! Figure$4.2$\$ $(2011)$ $ Source:!ProTon!Europe! !!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! 3 ! This! category! includes:! Austria.$UK$ and$Denmark$ Responding!countries!show!differences!in!the!characteristics!and!maturity! of! their! KT! process.0# Source:#ProTon!Europe! ! Figure$4.8! 100.! Sweden.! Czech! Republic.! On! the! one! side.0# 0! 295! 0! 295! 0.! France.4# 1.0# 0! 300# 5! 305# 0.! On! the! other! side.00! 100.! Italy! (6.3% IT 18.! each!KTO! showing! respectively! an! average$ age! of! 18.0# 0.0! 98.!Respondents!by!country!and!type!of!PROs! Poland! PL! Total# Other!countries3 All#Countries# 1! 316# 9! 325# 0.2).5% UK 49.! UK! and! Denmark! have! more! consolidated! experiences.9.9! years.5% ES 19.0! 100.0# 0.0! 100.! 17.5! and! 12.8% $ Source:#ProTon!Europe! $ Oldest$KTOs$are$ located$in$Spain.2# 2.0! 100.1$\$Contribution$to$the$sample$by$country$(2011.5! years)! has! younger!KTOs!(figure!4.! Greece.! Poland.! Finland.9% DK 4.6! 100.$n=329)$ IE 7.3! 97.! ! 31" .

9# UK$ %$ 7.5! 1! 12.6! 0! 0.0! 18.! which! is! equal!to!14!(table!4.6! 13.0! 0! 0.3$\$KTOs'$year$of$foundation$ foundation$ Up!to!1982! 198311987! 198811992! 199311997! 199812002! 200312007! 200812012! Number#of# KTOs# Average#KTOs'# age#(years)# n$ 11! 16! 53! 37! 93! 51! 10! Total$ %$ 4.1! 63.8! 3.5# Source:#ProTon!Europe! ! In!general.0! 8# 54# 100.4! 16.0! 0! 0.! Table$4.0! 0.0! 0.0! 4! 50.0! 13.ProTon!Europe!Eighth!Annual!Survey!Report!(FY!2011)! ! # ! In! fact.2! 48.5! 0! 0.6! 8.!and!manage!a!relevant! range!of!activities!including!IP!management.! against! the! average! age! calculated! for! all! countries.0! 5.$$ KT$performance$ The! third! and! last! group! is! composed! by! about! one! third! of! total! KTOs! (founded!before!1993)!which!are!well1staffed!and!experienced.4! 5.! ! $ $ $ $ $ ! 32" .0! 12.6! 5! 8.0# Denmark$ n$ %$ 0! 0.5! years.1! 2.5! 15! 24.0! n$ 11! 8! 24! 18! 72! 12! 3! 61# 148# 100.0! 0.3).2! 12.9! 19.7! 34.0! 24.3! 18.0! 100.2! 4! 6.0! 17.!with!regard!to!single!PROs!rather!than!single!countries!(figure! 4.5# Spain$ n$ %$ 0! 0.!it!emerges!quite!clearly!that!about!one!fifth!of!respondents!can!be! considered!as! !and!despite!their!participation!in! the! survey.!! European$KTOs$are$on$ average$14$years$old$ KT$experience$vs.0! 100.0! 14.! the! average! age! of! Italian! KTOs! is! 6.0! 3! 37.3).0! n$ 0! 0! 0! 0! 13! 34! 7! Italy$ %$ 0.1! 29! 47.!! Another! large! portion! of! the! group! is! represented! by! PROs! which! are! active! in! the! field.! with! over! 98%! of! them! being! established! since! year! 2000.! their! answers! show! that! they! are! just! starting! explicit! and! codified!KT!activities.0! 8! 13.!licensing!and!spin1off!support.! have! a! stable! KTO! with! a! small! number! of! staff! and! standard! procedures! to! manage! KT! initiatives! (KTOs! founded! in! the! 199312007!period).7! 271! 100.9# 6.

! $ Figure$4.5%! 7.4$\$Types$of$PROs$served$by$the$responding$KTOs$(n=140)$ $ Other 12.!17.7%!are!other!types!of!RTOs.6% University 82.!82.!Respondents!by!country!and!type!of!PROs! $ $ $ Figure$4.4%! 100!M! ! 33" R&D$expenditure$$ per$KTO$in$FY$2010$ R&D$expenditure$in$ 2010$was$greater$than$ $ of$European$KTOs$$ .5%! 14.3$ $ (n=271)$ $ Source:!ProTon!Europe# Concerning!the!type$of$PROs$served!(figure!4.4).! average! Research$ and$ Development$ (R&D)$ expenditure! in! 2011! is! equal! to! 41! M! per! KTO! (table! 4.1%!of!them!invested! 10!M!t 20.! 111.7% Hospital 4.6! M! per! KTO).4).2%! if! compared! with! 2009! performance! (the! average! data! referring! to! 2010! was! 45.8%! of! respondents! did! not! invest!more!than! 10!M!in!R&D!activities.! More! precisely.7% $ Source:!ProTon!Europe# ! The!starting!point!of!any!effort!to!transfer!results!from!public!research!is!obviously!that! of! investing! in! research! activities.!Only!4.7%! 9.! in! 2011! 30.7%!are!universities.! With! regard! to! this! specific! question.6%!are! hospitals!and!the!residual!12.4.

ProTon!Europe!Eighth!Annual!Survey!Report!(FY!2011)!
!
In!the!sample,!no!PRO!registered!more!
2011.!It!is!well!known,!however,!that!this!kind!of!data!is!particularly!difficult!to!collect!in!
a!homogeneous!way,!even!from!organisations!operating!in!the!same!country.!
$
Table$4.4$\$PROs'$R&D$expenditure$in$FY$2010011!
2010$

$
!
>101!
!
>251!
!
>501!
!
>751!
!
>1001!
!
>200!
Total#number#of#KTOs#
Total#R&D#expenditure#
Average#R&D#expenditure##

n$
31!
27!
22!
15!
6!
16!
0!
117#

%$
26.5!
23.1!
18.8!
12.8!
5.1!
13.7!
0.0!
100.0!
5.3#B#
#45.6#M#

2011$
n$
36!
20!
24!
17!
9!
11!
0!
117!

%$
30.8!
17.1!
20.5!
14.5!
7.7!
9.4!
0.0!
100.0!
#
#

Source:#ProTon!Europe#

!
With! regard! to! the! composition! of!
expenditure! (figure! 4.5),! 45%! is! public! funded! research,! including!
source! (36.8%),! together! with! funds! from! industry,! including! contract!
research! and! consulting,! collaborative! research,! technical! services! and!
training! for! industry! (13.9%).! Donations! account! for! 0.9%.! The! residual!
3.3%!is!represented!by!other!financial!sources.!
This! is! one! of! the! issues! where! national! differences! may! emerge,! and!
further! investigation! on! this! issue! is! therefore! necessary.! However,! the!
graph!illustrates!once!again!that,!in!general,!R&D!activities!carried!out!by!
European!PROs!can!hardly!be!sustained!by!contracted!and!collaborative!
research!alone.!
Figure$4.5$\$Sources$of$PROs'$R&D$expenditure$in$2011$

!

34"

expenditure$is$public$
funded$research$$

European$PROs$are$
not$able$yet$to$$
self\sustain$their$$
R&D$activities$$

4.!Respondents!by!country!and!type!of!PROs!

Other!
sources
3.3%

Industry
13.9%

PROs'!
own!funds
36.8%

Government
45.0%

Donations
0.9%

#

Source:#ProTon!Europe!Survey#

!
A!schematic!representation!about!the!key!features!characterizing!respondents!as!well!as!
the!PROs!served!in!2011!is!reported!in!box!1.!!
!
Box$1$\$Responding$KTOs$and$PROs$served$in$2011$
$

!

Number$of$respondents:$$
!
$
!

329!KTOs!

Types$of$PROs$served:!
universities!

82.7%!are!

14!years!

!
!

4.6%!are!hospitals!
12.7%!are!other!types!of!RTOs!

!
$

$4.8!B!in!total!(n=117)!
41.0!M!per!KTO!

!
of#which:#
!
!
!
!

45%!from!government!
36.8%!from!
13.9%!from!industry!!
0.9%!from!donations!
3.3%!from!other!sources!
Source:#ProTon!Europe#

$

!

35"

!

!

!

5.$Characteristics$of$the$KTOs$
!
The!consolidation!of!KTOs!in!European!PROs!has!reached!different!levels!
of!maturity!in!different!countries,!and!differences!also!exist!within!single!
countries.! Differences! among! countries! also! exist! because! the!
responsibilities! of! KTOs! sometimes! vary.! Nonetheless,! one! of! the! best!
indicators!to!assess!the!maturity!of!the!KTO!structure!is!the! number!of!
total$staff!(table!5.1).!With!regard!to!2011!data,!the!average$number$of$
staff$(in$FTEs)$is$8.3,!with!a!small!increase!with!regard!to!2010.!

Average$staffing$$
level$in$2011$for$
European$KTOs$$
is$8.3$FTEs$$

More!precisely,!37.2%!of!KTOs!have!3!people!or!less,!a!further!22%!have!3!to!6!people,!
28,8%! have! 6! to! 15! people,! and! the! residual! 12.1%! have! more! than! 15! people.! In!
particular,! 3.8%! of! the! total! number! of! respondents! (n=132)! exhibit! more! than! 30!
people! and! are! obviously! engaged! in! activities! which! go! beyond! KT! in! its! strictest!
definition.!!
Table$5.1$\$Total$KTOs'$staff$(FTEs)#
KTOs'$staff$
(FTEs)$
!
>11
>21
>31
>41
>51
>61
>81
>101
>151
>201
>30!

!
!
!
!
!
!
!
!
!
!

Number#of#KTOs#
Total#FTEs#
Average#FTEs#per#
KTOs#

2006$

2008$

2010$

2011$

N$
2!
16!
20!
17!
14!
9!
16!
13!
13!
5!
6!
9!

%$
1.4!
11.4!
14.3!
12.1!
10.0!
6.4!
11.4!
9.3!
9.3!
3.6!
4.3!
6.4!

N$
10!
17!
22!
15!
17!
3!
11!
14!
18!
5!
6!
6!

%$
6.9!
11.8!
15.3!
10.4!
11.8!
2.1!
7.6!
9.7!
12.5!
3.5!
4.2!
4.2!

n$
18!
22!
21!
10!
15!
4!
15!
16!
13!
6!
6!
6!

%$
11.9!
14.6!
13.9!
6.6!
9.9!
2.6!
9.9!
10.6!
8.6!
4.0!
4.0!
4.0!

n$
12!
20!
17!
10!
9!
10!
17!
8!
13!
5!
6!
5!

%$
9.1!
15.2!
12.9!
7.6!
6.8!
7.6!
12.9!
6.1!
9.8!
3.8!
4.5!
3.8!

140#

100.0!

144#

100.0!

152#

100.0!

132#

100.0!

1,161.5#

1,335.0#

1,175.4#

1,091.5#

8.3#

9.7#

7.7#

#
8.3#
#

Source:#ProTon!Europe!

!
for! which! we! have! detailed! data! (table! 5.2).! In! particular,! it! is! quite!
evident! that! the! total! average! size! of! 8.3! FTEs! is! the! result! of! the!
combination!of!large!KTOs!in!Spain!on!the!one!side!(with!an!average!of!
12.7! FTEs! per! KTO)! where! such! offices! are! involved! in! a! wide! range! of!
!
36"

Spanish$KTOs$are$the$
largest$in$the$sample,$
with$average$staffing$
level$of$12.7$FTEs$$

8! FTEs! in! Italy)! and! are! probably! mostly! involved! in! activities! strictly! related!to!the!legal!protection!of!inventions.2$ K$ per$ respondent.1 5.5 3.6.!! ! Table$5.8 4 2 0 Denmark 2008 Italy 2009 Spain 2010 2011 $ Source:#ProTon!Europe! ! Annual$ ! in! 2011! is! equal! to$ 375.!! Average$annual$ budget$in$FY$2010$$ for$European$KTOs$is$ $ ! ! 37" .3! 260! (31.!where!KTOs!are!smaller!(4.5! (81.2$\$Total$KTOs'$staff$(FTEs).8! 14! Italy$ 201.5! 260.!patenting.4 12.8!FTEs!in! Denmark! and! 3.!licensing!and!spin1off!creation.0 3.6%! for! Spain! and! 15%! for! Italy! in! the! period! 20081 2011).! 8%! of! responding!KTOs!has!budgets!whose!amounts!are!higher!t corresponding!share!was!21.!7.3 decreasing! trend! (11.! In! particular.8! 53! Spain$ 823.2%! if! compared! with! 2006).7! 65! Source:#ProTon!Europe! ! Regarding! the! trends! observable! in! the! average! KTOs! staffing! levels! by! country! in! the! 200812011! registered! a! significant! increase! if! compared! with! data! referring! to! FY! 2008! (+14.2 4.7 12.1%!in!2010.4! 55! (27.7! 54.0! (23.!and!Denmark!and!Italy!on!the!other!side.7%)! 4.3%)! 3.3%! if! compared! with! the! result! referring! to! 2010! and! 114.5 3.6%)! 12.$by$country$(2011)$ Country$ Total!FTEs! Top!5!KTOs!! (%!on!total!FTEs)! Average!FTEs!per!KTO! Number#of#KTOs# All$countries$ 1.9 13.! in! 2010.! registering! a! decrease! (138.2 5.3).7%!in!2009.! +14.!IP!management! activities.8 4.!15%!in!2008!and! 10%!in!2006!(table!5.3%$increase$of$ staffing$level$for$ Danish$KTOs$in$the$ 2008011$period$ Average$number$of$KTOs'$staff$(FTEs) Figure$5.2 14 12 10 8 6 4.3! 132! Denmark$ 66.8%)! 8.091.1$\$ $ 16 12.

! In! particular.4! 13! 11.1! 14! 12.5! >3001 ! 4! 10.3! 8! 22.5! 4! 10.0! 16! 15.4!K!per!KTO).0! 101# 100.0! 14! 20.! Table$5.4! 4! 10.5! 4! 3.3$\$Annual$KTOs'$budget$ Annual$KTOs'$budget$ $ 0! >01 ! >501 ! 2006$ 2008$ 2010$ 2011$ n$ %$ N$ %$ n$ %$ N$ %$ 1! 2.!where!KTOs!are! bigger!and!more!experienced.0! 10! 9.2%)! ! 58# ! 55# Source:#ProTon!Europe!! ! ! A! schematic! representation! of! the! key! characteristics! of! responding! KTOs! in! 2011! is! reported!in!box!2.5! 13! 11.0! 12! 21.9%)! ! 113# Italy$ Spain$ ! ! (47.0! >5001 ! Total#KTOs'#budget# # # # 4#M# Average#budget#per#KTO# # # # # Source:#ProTon!Europe! ! The!average!KTOs!budget!is!different!in!the!two!countries!for!which!we! Average$amount$of$ have! detailed! data:! Italy! and! Spain! (table! 5.7! 7! 22.0! Number#of#KTOs# 40# 100.2! 31! 27.1! 9! 8.! it! is! quite! budget$is$higher$for$ evident! that! the! average! budget! of! 375.! ! 38" .0! 107# 100.4$ KTOs'$budget$by$country$(FY$2011)$ Country$ Total!annual!budget! Top!5!KTOs!! (%!on!total!FTEs)! Average!annual!budget!per!KTO! Number#of#KTOs# All$countries$ ! ! (38.1!K!per!KTO).0! 11! 10.5! 18! 16.!where!KTOs!are! younger!and!smaller.4! >1001 ! 8! 20.0! 17! 15.0! 13! 11.9! 21! 19.0! 15! 14.ProTon!Europe!Ninth!Annual!Survey!Report!(FY!2011)! ! ! $ $ Table$5.1! 10! 25.!and!more!modest!investment!made!by!Italian!universities! on!the!other!side!(the!average!annual!budget!being! 116.0! 16! 20.3! 10! 21.6! >2001 ! 5! 12.4! 12! 10.5! >1.9%)! ! ! (46.0! 16! 15.4).8! 13! 20.000! 4! 10.2! K! referring! to! the! whole! Spanish$KTOs$than$$ sample! (n=113)! is! the! result! of! the! combination! of! large! amounts! of! for$Danish$and$Italian$ financial!resources!devoted!by!universities!to!KT!activities!in!Spain!on!the! ones$$ one!side!(the!average!budget!being! 648.0! 8! 7.0# 113# 100.

!IP!management! Box$2$\$Characteristics$of$responding$KTOs$in$2011$ $ KTO$staff:$ (n=132)! ! 1.5!FTEs!in!total! 8.3!FTEs!per!KTO! ! KTO$budget:$$ $42.091.6.2!K!per!KTO! ! Source:#ProTon!Europe! $ ! ! 39" .4!M!in!total!(n=113)! 375.

3%! of! the! respondents! did!not!collect!any!invention!disclosure!in!FY!2011.! The! average! number! of! invention! disclosures! grew! in! the! 200612011! period! from! 18.6! 6.! 6.0! 271# 100.8! 13.9# 19.1! N$ 96! 36! 44! 24! 15! 8! 12! 15! 16! 17! 10! %$ 32.3# 19.841# 5.6! n$ 83! 44! 29! 26! 15! 13! 13! 13! 18! 18! 11! %$ 29.1$\$Annual$number$of$invention$disclosures$$ Invention$ disclosures$ 2006$ 2008$ 2011$ 16120! 21125! 26130! 31140! 41160! 611100! >100! N$ 92! 51! 38! 20! 12! 13! 13! 11! 19! 9! 9! %$ 32.6! 3.!21.!! compared$with$FY$ 2010$ Table$6.3! 15.4!disclosures!in!2011!(+16.! On! average.4$ disclosures.1! 17.1%!if! compared!with!2010!and!+22.1! 5.3! 4.! but! the! number! would! be! larger! (31.2! 4.1! 2.8! 6.0! 4.7%).0! 8.! however.!! Data! from! 283! KTOs! (table! 6.! then! keeping!stable!in!200812010.0! 283! 100.1! 4.7! 15.$IP$management$ ! An! important! indicator! of! the! intensity! of! the! KT! activities! carried! out! in! a! PROs! is! represented!by!the!number!of!invention$disclosures.! The! 45%! of! PROs!have!more!than!10!invention!disclosures!and!among!these.243# 6.4! 7.2%! have! 6! to! 10.5! 5.1! 2.0! 293# 100.!These!KTOs!are!those! which! have! just! started! codifying! KT! activities! and/or! do! not! have! any! specific! invention! disclosure! practice.337# 18.1)! indicate! that! 29.0! 4.4# Source:#ProTon!Europe! ! ! 2010$ 40" .3%!have!more!than! 30!invention!disclosures.1! 5.9! Number#of#KTOs# 287# 100.6! 4.5! 4.8! 12.3# 22.!although!a!high!number!of!disclosures!does!not!necessarily!imply! a!high!quality!of!inventions.6! 4.! every$ KTO$ has$ 22.4$invention$ $ 15.1! 2.1! 3.0! 0! 115! 6110! 11115! Total#number#of# disclosures# Average#number#of# disclosures#per#KTO# 5.8! 3.5! 7.4%!if!compared!with!2006).261# 5.9! 8.3! 15.4! 6.7! disclosures! Each$European$KTO$ registered$on$average$ 22.2! 7.2! 5.5! 10.9! in! 2008! (+8.5%! of! PROs! have! 1! to! 5! invention! disclosures! and! 10.2! 9.2! 5.3! disclosures! in! FY! 2006! to! 19.2! 5.5! 17.!These!surely!represent!a!relevant! quantitative!indicator.!with!about!19!disclosures!per!KTOs!in!both! years!surveyed!and!then!increasing!to!22.4! n$ 69! 48! 42! 20! 19! 11! 6! 16! 22! 11! 7! %$ 25.7! 4.5! 3.4! 3.

4! 20.2$ $Invention$disclosures$by$country$(2011)$ Country$ All$countries$ Total!disclosures! 6.6%! for! UK! respectively).8%)! Source:#ProTon!Europe! ! +33.9%! for! Spain.222! 304! (83.! Spanish.! 41" .2!and!23.7! (non1zero!values)! Number#of#KTOs# 283# Denmark$ 365! Ireland$ 407! Italy$ 468! Spain$ 1.! Italian!and!UK!KTOs!registered!a!significant!increase!if!compared!with!data! referring! to! 2008! (+33.!For!Italian!KTOs!the!average!number!of! inventions!disclosed!in!2011!is!11.7! 23.9! 14# 26# 50# 62# 157# 194! 448! 1.337! Top!5!KTOs!! 1.2).!Licensing! ! If!we!look!at!the!situation$of$single$countries!(table!6.!By! considering! the! bulk! of! the! surveyed! countries.214! (41.1! 15.4%! for! Italy! and! +10.! If! we! observe! the! evidence! of! single! countries.7$invention$ disclosures$in$FY$2011$ (non\zero$values)$ The! results! are! significantly! higher! if! we! include! in! the! sample! only! is.9%)! (28.2).9! invention! disclosures! per! KTO.7.! which! in! 2011! registered! respectively!33.! Each$European$KTO$ registered$on$average$ 31.! on! average! each! KTO! registered! in! 2011! 31.4! per!KTO! Average!disclosures! per!KTO!! 31.9! 33.7!and!15.!UK!and!Danish! universities! have! an! average! number! of! invention! disclosures! which! is! the!highest!among!participant!countries!(about!26!invention!disclosures! per! responding! KTO).242! (%!on!total! (19.! +11.a.!In!2011!each! UK$and$Danish$KTOs$ are$top$invention$ disclosers$ Italian!KTO!registered!on!average!9.7! 26.! 11.1).3!invention!disclosures.7! 9.9%$increase$$ of$invention$ disclosures$for$ Spanish$KTOs$in$the$ 2008011$period$ ! Regarding!the!trends$observable$in$the$average$number$of$disclosures$by$ country$ (non\zero$ values)! in! the! 200812011! period! (figure! 6.6%)! disclosures)! Average!disclosures! 22.282! UK$ 4.! Lower! but! still! significant! results! have! been! registered! by! Danish! and! Spanish! KTOs.! while! Irish! KTOs! kept! stable! in! the! two1year! period! 20091 2010.! 26.!if!we!consider!only!the!non\zero$values!in!the!sample!(table!6.! UK! KTOs! are! again! the! best! performers.7!invention!disclosures!per!KTO).7! invention! disclosures.! Table$6.4!invention!disclosures!per!KTO.! ! achieving! an! average! of! 44.! followed! by! Spanish! and! Irish! performances! (respectively!20.a.7.3%)! n.2! n.5%)! (34.3! 44.

! 30.9%! 10.! $ $ $ $ $ $ $ $ $ !!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! 4 !International!patent!offices!include!both!European!Patent!Office!(EPO)!and!United!States!Patent! and!Trademark!Office!(USPTO).8 10 5 0 Denmark Italy 2008 Spain 2009 UK 2010 Ireland 2011 $ Source:#ProTon!Europe!Survey! ! A! further! step! in! the! KT! process! is! represented! by! the! filing! of! priority$ Each$European$KTO$ patent$applications!(to!both!national!and!international!patent!offices)4.! filed$on$average$$ These!are!not!necessarily!linked!to!inventions!disclosed!in!the!same!year! 11.ProTon!Europe!Eighth!Annual!Survey!Report!(FY!2011)! ! Figure$6.4%! 45 40 35 30 ! 33.4 21.!Therefore.! ! 42" .3 4%! 26.!The!remaining!14%!made!more!than!20!applications.5%! of! total! PROs! did! not! apply! for! any! patent! in! 2011.! to! previously! disclosed! Inventions.!the!average!number!of!11.7 21.1$\$Trend$of$average$number$of$disclosures$by$country$(non\zero$values)$ Average$number$of$invention$disclosures $ 50 +10.3 20.9 41.4 25 +33.! About!25%!presented!1!to!5!applications!and!about!31%!presented!6!to! 20!applications.!ranging!from!those!KTOs! with!no!applications!(n=87)!to!those!with!more!than!100!(n=6).!with!the!top!2.3 21.8! applications!per!KTO!is!the!result!of!quite!different!situations.5 11.6%! +23.6 17.! rather.6 38.2 27.5%! +11.5 11.8%! of!KTOs!which!made!more!than!60!applications.4 23.4%! 20 15 44.6 10.8$priority$patent$ but.9 26.3.! As! we! can! observe! in! applications$in$2011$ table! 6.5 40.7 7.

! UK! KTOs! show! the! highest! average! number! of! applications!(14.496# 2.7! 9.!For! Italian!KTOs!the!average!number!of!priority!patent!applications!filed!in!2011!is!7.3# 11.0! 1.7.4! 12.1! 7.2! and! 9.7! 1.1!and!11.! The! corresponding! average! number! for! Italian! and! Irish! KTOs! is! respectively! equal! to! 6.4).! ! Each$European$KTO$ filed$on$average$17$ priority$patent$ applications$in$FY$2011$ (non\zero$values)$ $ !!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! 5 ! !Filed!to!both!national!and!international!patent!offices!(namely!the!EPO!and!the!USPTO).9! 4.3! and! 5.3! 4.1! 14.1! 287# 100.9! 4.7! 0.! Lower! but! still! significant! results! have! been! registered! by! Danish! and! Spanish! KTOs.0! n$ 87! 34! 40! 49! 25! 16! 9! 11! 3! 3! %$ 31.0! n$ 118! 12! 42! 44! 29! 13! 16! 14! 5! 3! %$ 39.0! 296# 100.7! 1.6! 8.5!patent!applications.0# 9.358# 8.1! 17.0! 11.0! 2.8! 3.4! 4.3$\$Annual$number$of$priority$patent$applications5$ Priority$ patent$ applications$ 0! 112! 315! 6110! 11115! 16120! 21130! 31160! 611100! >100! Total#number# of#KTOs# Total#number# of#priority# patent# applications# Average# number#of# priority#patent# applications# per#KTO# 2006$ 2008$ 2010$ 2011$ n$ 98! 49! 36! 32! 22! 18! 14! 12! 3! 3! %$ 34.9! 9.1# 10.! which!in!2011!filed!respectively!17.3! 14.7! 2.5! 11.7! 6.! If! we! observe! the! situation! of! single! countries.8! 4.2! 14.!! By!considering!just!the!non\zero$values!in!the!sample.5! 3.!Denmark!and!Spain!also!exhibit!in!2011!a!consistent! average! number! of! priority! patent! applications! (12.0! 5.!on!average!each! European! KTO! filed! in! 2011! 17! priority! patent! applications.4).8.9! 18.5! 7.4! 17.2! 4.0! 1.8# Source:#ProTon!Europe!Survey! ! UK$KTOs$show$the$ highest$average$ number$of$priority$ patent$applications$ (14.4)$filed$in$FY$2011$$ If!we!look!at!the!number!of!priority$patent$applications$filed$in$2011$by$ country! (table! 6.5! 13.!Licensing! $ Table$6.1! 1.7! priority! patent! applications! per! KTO! respectively).4! 5.3! applications.2! 1.0! 277# 100.! UK! KTOs! registered! on! average! 24! priority! patent! applications! per! KTO.1! n$ 87! 37! 34! 53! 24! 10! 10! 22! 2! 6! %$ 30.571# 3.1! 12.4! 3.0! 285# 100.! 43" .951# 2.

0! 17.358! 171! 139! 319! 612! 2.ProTon!Europe!Eighth!Annual!Survey!Report!(FY!2011)! ! $ Table$6.8! 11.7%! 27.9 +6.1 Denmark 2008 11.3 12.2%)! 138! (80.5%)! Source:#ProTon!Europe! ! Regarding!the!trends$observable$in$the$average$number$of$priority$patent$ applications$ filed$ by$ country$ (non\zero$ values)! in! the! 200812011! period! (figure!6.!Danish!KTOs!registered!a!significant!increase!if!compared!with! data! referring! to! 2008! (+47.1 Italy 23.9 11.8%)! (37.2! 5.7%)! n.9%)! (32.6 28.5 9.2).8%! increase! and! Spanish! KTOs! experienced! a! +12.4%).3 12.! The! performances! of! Italian! KTOs! increased! (+6.! whereas! UK! KTOs! experienced! a! +14.2 10.2 7.4%!increase).8 6.2$\$Trend$of$average$number$of$priority$patent$applications$by$country$$ (non$zero$values)$ Average$number$of$priority$patent$ applications $ 45 40 35 30 25 20 15 10 5 0 +14.! The! average! number! of! priority! patent! applications! filed! by! increased!significantly!over!the!200912010!period!(+207.8%! 22.7! 14.8%! 39.4$ $Priority$patent$applications$by$country$(2011)$ Country$ Total!priority! patent!applications! Top!5!KTOs!! (%!on!total!priority! patent! applications)! Average!priority! patent!applications! per!KTO! Average!priority! patent!applications! per!KTO!(non1zero! values)! Number#of#KTOs# All$countries$ Denmark$ Ireland$ Italy$ Spain$ UK$ 3.9 11.! +47.3! 9.1! n.4%! +12.6 17.a.4%! +207.0! 285# 14# 26# 51# 63# 157# 137! 201! 845! (42.3 20.a.4%$increase$of$ priorities$for$Danish$ KTOs$in$the$2008\ 2011$period$ Irish! KTOs! Figure$6.3! 6.0 UK 2010 Ireland 2011 $ Source:#ProTon!Europe! ! 44" .! 7.4 Spain 2009 24.8! 12.4! 17.3 7.7%! increase.256! 845! (25.6 +47.! 11.5! 24.8%)! over! the! last! four! years! surveyed.

0! 272# 100.596# 22.0! 280# 100.4! 4.6%!have!more! than!60!patents.!Licensing! ! ! Each$European$KTO$ held$on$average$ 81.!and!the!remaining!28.3! 7.! 45" .4! 4.0! 9.! A! larger! number! of! patents.2! n$ 83! 31! 18! 12! 8! 25! 23! 26! 28! 17! 9! %$ 29.! registering! a! constant! increasing!trend! over! the! period! surveyed! (+100.9!patents!(including!the!83!PROs! with! no! patents! at! all).3! 15.!nonetheless!they!indicate!that! the!stock!of!patents!held!by!European! PROs!is!certainly! significant!in!scale.6).! but! the! others! are! certainly! +100.8! n$ 104! 24! 18! 10! 11! 32! 21! 19! 21! 12! 10! %$ 36.9! 8.882# 19.3%!of!respondents.8%! if! Each$European$KTO$ compared!with!2010).0! 11.2! 6.!More!than! one! third!of! KTOs! are! not! really! active! yet.6! 11.!is!held!by!24.e.9! 4.628# 18.6%! of! KTOs! have! no! patents.3! 3.1! 2.4%! have! between! 6! and! 10! patents.1%! have! between! 1! and! 5! patents! and! 6.!These!numbers!are! still!far!from!those!of!the!larger!high1tech!corporations.5$\$Patent$portfolio$as$of$December$31 $of$each$year$ portfolio$as$of$ Active$ st 2006$ 2008$ 2010$ 2011$ December$31patent$$ $2009$ portfolio$ 0! 115! 6110! 11115! 16120! 21140! 41160! 611100! 1011200! 2011400! >400! Number#of# KTOs# Total# portfolio# Average# portfolio# per#KTO# n$ 106! 44! 18! 11! 16! 28! 12! 19! 18! 7! 5! %$ 37.9! 11.7.9! 8.! we! realize! that! the! major! contribution! to! the! achievement!of!these!results!is!attributable!to!UK!performances!(n=157).! 29.1! 3.1! 6.9! 5.2! 9.! 11.3%!holding!more!than!100!patents.!with!the!top!19.5! 6.9! 8.7! 7.2%! if! compared! with! 2006! and! +13.0# 72.0! 6.6! 9.0# 81.2! 284# 100.!the!stock!of!active!patents!held!by!PROs!at!that! moment! and! the! applications! filed).0! 282# 100.9! 10.! With! regard! to! 2011.4! 6.8! 2.5! 1.4! 3.8! 11.945# 40.5! 3.7! 5.8! 7.7! 6.9! 8.6$ st active$patents$in$ Table$6.! the! 280! respondents! to! this! part! of! the! survey! hold! 22.3! 3.0! 4.945! patents.5! presents! the! number! of! folio$ at$ the$end$of$each$year!(i.9# Source:#ProTon!Europe! ! UK$KTOs$show$the$ highest$average$ portfolio$(104.8! 7.5! 6.2%$increase$in$ very!active.1$active$ patents)$in$FY$2011$ ! If!we!look!at!the!data!about!patent$portfolio$as$of$December$31st$2011$ by$ country! (table! 6.5! n$ 81! 32! 19! 13! 8! 24! 19! 27! 29! 14! 6! %$ 29.! held$on$average$70.! the$number$of$active$ patents$in$the$2006\ 2011$period$ In! total.! between! 11! and! 60.!with!an!average!number!of!81.3! 2.3! 2.3! 10.9# 67.9$active$patents$ in$portfolio$as$of$ December$31st$2011$ Table! 6.

!with!an!incidence!of!32.! ! $active$patents$$ $ ! Danish! KTOs! (n=14)! registered! on! average! a! more! modest! patent! portfolio! (8.!which!as!of!December!31st!2011! non\zero$values)$ held! respectively! 88! and! 56.!with!the! !universities!accounting!for!39.9%)! 81.6%)! .0! 170.7%)! (45.! ! Table$6.787! Spain$ 3.! impacting! significantly! on! !universities.3! 280# 14# 50# 59# 157# 46" 1.450! (39.5! 11.9! active! patents.!By!considering!the!results! achieved!by!the!five!universities!which!in!each!country!obtained!the!best!performances! ! universities).7! 62.! In! this! case.5! active! held$on$average$ patents.7%)!of!the!total!volume!referred!to! $ the!whole!sample!of!Spanish!KTOs.5$active$patents$ the! highest! volume! of! active! patents.! it! emerges! that! for! the! case! of! the! UK! such! universities! were! holding! a! total! number! of! 7.! the! average! portfolio! including! in$portfolio$as$of$ 170.! top#5 are!also!among!the!best!performing!universities!with! regard! to! the! whole! sample! of! respondents! in! 2011! (n=280).! Italian!data!show!on!average!55.7! 104.697! UK$ 16.!in!part!it!is!physiologically! attributable! to! the! smaller! sample! size! (n=14)! for! Denmark.7%!of!the!total!volume!referred!to!the! whole!sample!of!Italian!KTOs!(n=50).6.107! 1.345! 7.1!active!patents!per!KTO.7!active!patents!per!KTO.! representing! almost! one! third!of!the!total!volume!referred!to!the!bulk!of!European!KTOs!responding!to!the!2011! ProTon!Europe!survey.7! active! patents! per! KTO).616! 7.450! (32.! ! universities! also! 2011$included$62.9! 88.9%!of!the!total!volume!referred!to!the!whole!sample!of! Danish! KTOs.! the! average! number! of! active!patents!in!2011!is!11.! $ By! considering! just!the! non\zero$values! in! the!sample.! UK! KTOs! show! 116.9! 8.945! 116! 2.5%!on!the!total!volume!referred!to!the!whole!sample! of!UK!KTOs.3! active! patents.!n=59).5%)! 102! (87.$ For!Spain.! In! this! case.3! active! patents).! For$Spanish$KTOs.! If! we! observe! the! evidence! of! single! countries.6$ $Active$patent$portfolio$by$country$(2011)$ Country$ Total!portfolio! Top!5!KTOs!! (%!on!total! portfolio)! Average!portfolio! per!KTO! Average!portfolio! per!KTO!! (non1zero!values)! Number#of#KTOs# ! All$countries$ Denmark$ Italy$ 22.!we!can!observe!a!quite!consistent!average!patent!portfolio! average$portfolio$in$ (62.7$$ account!for!a!significant!share!(43.! If! such! an! incidence! is! in! part! generated! by! the! better! performances!achieved!by!such!universities.3! 55.! the! ! universities! for$Danish$KTOs! account!for!87.ProTon!Europe!Eighth!Annual!Survey!Report!(FY!2011)! ! exhibiting!an!average!number!of!104.450! active! patents! as! of! December! 31st!2011.! on! average! each! Each$European$KTO$ European! KTO! at! the! end! of! FY! 2011! held! in! portfolio! 116.6! 56.1! 116.! Lower! but! still! significant! results! have! been! December$31st$2011$ registered!by!Spanish!and! Italian!KTOs.! For! Danish! KTOs.7%)! (43.

! varying!between! 136!K!and! 184!K!in!the!considered!period!(2006111).!Licensing! ! Source:#ProTon!Europe# ! Regarding!the!trends$observable$in$the$patent$portfolio$by$country$(non\zero$values)!in! the! 200812011! period! (figure! 6.6%! respectively).2%! 180 160 140 120 100 80 60 40 20 0 +49.6 Denmark 2008 Italy Spain 2009 UK 2010 Source:#ProTon!Europe!Survey! Ireland 2011 # ! The!total!IPR$expenditure!includes!the!external!legal!fees!paid!for!patent! applications.! Also! UK! KTOs! registered! an! increase! in! the! surveyed! period! (+7.! the! number! of! patent! portfolio! was! decreased! (119.7.!! Figure$6.!For!a! further! 10.6%!if!compared!with!FY!2010).4%$increase$of$ patent$portfolio$for$ Spanish$KTOs$in$the$ 20081$period$ .3! K! (+10%! if! compared! with! FY! 2006!and!+34.!37.! Each$European$KTO$ invested$on$average$$ In!2011.! if! any).9 12 11.4 14.3 75 58.7%)! in! the! 200912010! period.1%!of!the!respondents!did!not!pay!any!external!legal!fee!in!2011.3%! 8.6%! +30.! but! still! consistent! growth! trend! (+30.!9.3 158.! As! shown! in! table!6.9 45.! This!result!can!be!partially!attributable!to!the!changes!in!the!sample!of!KTOs!responding! year!after!year.! The! amount!was!between! 15!K!and! 50!K!for!13%!of!the!KTOs.3).! maintenance! and! prosecution! during! the! year! (not! including! litigation! costs.4%!of!them!paid!between! 50!K!and! 100!K.8%! of! KTOs! the! annual! IPR! expenditure! was! no! greater! than! 15! K.9 57.2%).! ! 47" +49.4%! 119.! the! average! expenditure! per! KTO! being! 183.3 88 64 51.3%!of!the!sample!registered!legal!fees!between! 0.7%! +25.4%).! the!average! amount!of! IPR! protection$in$2011$ expenditure!for!responding!KTOs!has!been!changing!over!the!last!six!years.1!M! and! 1!M.3%! and! +25.!Finally.6%!of!responding!KTOs!paid!more!than! 1!M!for!external! legal!fees!in!2011.7.! while! Danish! and! Italian! KTOs! experienced! a! more! modest.3$\$Trend$of$average$patent$portfolio$by$country$(non$zero$values)$ $ Number$of$active$patents +7.! Spanish! KTOs! registered! a! significant! increase! if! compared! with! data! referring! to! 2008! (+49.! For! Irish! KTOs.!! In!particular.1 51 56.!the!top!3.9 160 170.!whereas!26.!the!278!respondents!to!this!part!of!the!survey!registered!a!total!expenditure!of!! 51! M.8 144 84.

2! K! in! IP! protection! in! 2011.8).0! 292# 100.6! 15.9! 5.9! 10! 3.! 2011$ commercialisation! and! use! of! consultants! in! connection! with! KT! ( )$$ activities.1! 6.7$\$Annual$IPR$expenditure6$$ IPR$ expenditure$ 2006$ 2008$ 2010$ 2011$ $ n$ 119! 38! 15! 13! 17! %$ 46.5! 9.5! 9.7#M! ! Average#IPR# expenditure#per# KTO# # # #136.4! 7.6! 20! 6.ProTon!Europe!Eighth!Annual!Survey!Report!(FY!2011)! ! ! ! ! Table$6.4! >2001 ! 16! 6.9! 10.4! 11! 4.2! n$ 83! 37! 17! 19! 26! %$ 34.3! 30! 10.9!K!and! 47.1! K! per! KTO).! The! corresponding! average! IPR! expenditure! for! Italian! and! Spanish! KTOs!is!respectively!equal!to! 57.!maintenance!and!prosecution!during! (non\zero$values)$ the!year!(not!including!litigation!costs.8! 6.! If! we! Each$European$KTO$ invested$on$average$ !!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! 291.!IP!protection.6! 20! 7.!on!average!each! European! KTO! invested! 291.! ! 48" ! .3! 5! 1.0! 0! >01 ! >151 ! >301 ! >501 ! >5001 ! >1.! it! is! worth! noting! that! Danish! values! are! amount$of$IPR$ significantly! higher! than! their! counterpart! in! other! countries! because! expenditure$in$$FY$ they!include!institution!costs!for!evaluation!of!inventions.2! 6! 2.3! 26! 9.1! 10.8! 5.6! 9.7! 7! 2.8! 20! 8.6! n$ 124! 34! 29! 13! 27! %$ 42.3! 27! 9.7! 15! 5.3! 20! 8.2#K! ! Source:#ProTon!Europe! ! If! we! look!at! the!amount! of! IPR$ expenditure$ in$2011$ by$ country! (table! Danish$KTOs$show$the$ 6.! However.!Danish!KTOs!show!the!highest!amount!invested!in!IPR!protection!( highest$average$ 441.9! 10! 3.!if!any).6! 256# 100.5! 6.5! 14.000! Number#of# KTOs# Total#IPR# expenditure# # # #32.0! 278# 100.! By!considering!just!the!non\zero$values!in!the!sample.! Also! UK! KTOs! exhibit! on! average! significant! investment! in! IP! protection! ( 246.9! 4.1! 7.0! 240# 100.6!K!per!KTO.5! 11.4! K! per! KTO).4! >1001 ! 17! 6.2$ protection$in$2011$$ 6 !Including!external!legal!fees!paid!for!patent!applications.8! n$ 103! 30! 18! 18! 26! %$ 37.

! Lower! but! still! significant! investment! has! been! made! by! Danish! KTOs! ( 475.! Regarding! Italian! and! Spanish! KTOs! in! 2011! their! average! amount!of!IPR!expenditure!is!respectively!equal!to! 62.7.3! K).!Licensing! observe! the! evidence! of! single! countries.! the! average! IPR! expenditure! for! UK! KTOs! in! 2011! was! 562.3!K!and! 55.6! K! per! KTO.!! ! 49" .9!K.

5 514.337!invention$disclosures! top# ! respondents! accounting! for! 19.7%! IPR$expenditure$(K$Euros) 600 500 +16.7 62.3%)! ! ! 160# Source:#ProTon!Europe! ! +16.7!disclosures!when!considering!just!non1zero!values).6%! of! them).!During!the! year.! Figure$6.7 55.7%)! ! ! ! (41.! the! average! number! being! 22.8%$increase$of$ IPR$expenditure$for$ UK$KTOs$in$the$ 20081$period$ Regarding!the!trends$observable$in$the$average$amount$of$IPR$expenditure$by$country$ (non\zero$ values)! in! the! 200812011! period! (figure! 6.7!inventions!were!disclosed!per!thousand!of!R&D!staff!whereas!the!number!of! !!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! 7 !Danish!values!are!higher!because!they!include!institution!costs!for!evaluation!of!inventions.!8.8 400 484.1 467.3%! 200 54.7 45.! ! 50" .7%!respectively).9%!and! +12.8$ $IPR$expenditure$by$country$(2011)$ Country$ Total!expenditure! Top!5!KTOs!! (%!on!total!expenditure)! Average!expenditure!per!KTO! Average!expenditure!per!KTO!! (non1zero!values)! Number#of#KTOs# All$countries$ Denmark7$ ! ! ! ! (32.8%.3 36.! in! 2011! the! responding!KTOs!registered!a!total!number!of!6.3 54.! Spanish! KTOs! registered! a! significant! increase! if! compared! with! data! referring! to! 2008! (+48.4$\$ \zero$values)$ +12.ProTon!Europe!Eighth!Annual!Survey!Report!(FY!2011)! ! Table$6.4).!IP! protection.9%! 300 +48.4%)! (82.9 37.8%! $ 565.! Italian! and!Danish!KTOs!experienced!more!modest!still!positive!variations!(+16.1 53.2%)! ! ! ! ! 278# 14# 44# UK$ 61# ! ! (40.!commercialisation!and!use!of!consultants!in!connection!with!KT!activities.3%)! while! UK.+13.7%)! ! ! ! Italy$ Spain$ ! ! (43.4! inventions!per!KTO!(31.6 565.2 +13.9 397.9).2 475.1 Denmark Italy Spain 2008 2009 2010 100 0 UK 2011 $ Source:#ProTon!Europe! ! Disclosing$ performances$ Considering! some! performance$ indicators$ for$ IP$ management! (table! 6.3 421.

9$ $Some$performance$indicators$about$IP$management8$ Average$ Top$5$ Average$$ (non\ Variables$ (%$on$ per$KTO$ zero$ total)$ values)$ Invention! 1.! value!per! have!been!included!in!the!sample.6! 112# 33.5! active! patents! by! considering! just! non1zero! values).7! 110# 4.0! (25.1! 271# Source:#ProTon!Europe!Survey! ! !!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! 8 !It!is!worth!pointing!out!that!for!each!performance!indicator!which!has!been!calculated!in!this! table!the!sample!size!and!composition!varies!significantly.358! !KTOs!accounting!for!25.!a!total! number!of!2!applications!were!filed!per! 100!K!of!KTO !budget.! the! corresponding! indicator! per! 3.4! 31.$ budget$ fees$ 3.7.! Management$of$ patent$portfolio$ performances$ Table$6.1.9! patents! per! KTO! (116.8! priority!patent!applications!were!filed!per! 10!M!of!R&D!expenditure.5%).!The!active!patents!per! 100!K!of!KTO!budget!were! 14!whereas!the!patents!in!portfolio!per! 100!K!of!patent!fees!were!44.! During! the! year.9.242! 6.!for!those!indicators!which! are!calculated!as!ratios!(namely!average!value!per!K!R&D!staff.7! disclosures! (19.337! 22.450! 22.!Moreover.! In! 2011.! 4.! The! total! number! of! priority$ patent$ applications$ filed! by! respondents! in! FY! 2011! was! 3.! The! number! of! active! patents! per! thousand! of! R&D! staff! was! equal! to! 33.1! 273# 6.!In!particular.4! 105# 1.!the!average!number!being! 11.! Patent$filing$ performances$ The!total!number!of!active$patents$held$in$portfolio$by!the!respondents!as!of!December! 31st!2011!was!equal!to!22.5%)! n# 280# 5# 280# 197# All$$ KTOs$ Per$ Per$ K$ KTO$ R&D$ staff$ staff$ (FTE)$ 8.4! inventions! per! 10! M! of! R&D! expenditure! were! disclosed.6! priority! patent! applications! were! filed! per! thousand! R&D! staff.8! 17.! Finally.!the! average! portfolio! being! equal! to! 81.0! 98# 12.5! 274# 44.8! whereas! the!number!of! patents! held!in! portfolio! per! KTO!staff! (FTEs)!at!the!end!of!FY!2010!was!6.0! 102# 14.945! !KTOs!accounting!for!32.! a! total! number! of! 3.6%)! n# 283# 5# 283# 200# Priority! 845! patent! 3.5!applications.9! 102# 3.0! 126# 6.4! 121# Per$$ Per$$ Per$$ 10$M$ 100$K$ 100$K$ R&D$ patent$ exp.!whereas!the!number!of! priority!patent!applications!filed!per! 100!K!of!patent!fees!was!equal!to!6.8! 107# 12.358! 11.! whereas! the! annual!number!of!priority!filings!per!KTO!staff!(FTEs)!was!one!application.945! 81.0! 124# 1.!In!FY!2011.! the! number!of!inventions!disclosed!per!100!K!patent!fees!was!12.!Licensing! invention! disclosures! per! KTO! staff! (FTEs)! was! equal! to! 2! inventions.5! portfolio! (32.9! 116.!1.2%)! applications! n# 285# 5# 285# 198# Patent! 7.7! inventions.!average!value!per!KTO!staff!(FTE).8! (17! priority! patent! applications! by! considering! just! non1zero! values).8! 107# 2.! ! 51" .1.!The!number!of!active!patents!held!in!portfolio!per! 10!M!of!R&D!expenditure!was!12.4.2%!of!the!total).7! 101# 2.

6%)$ 22.5!active!patents!per!KTO!(non1zero!values)$$ 33.5%)! 81.2%)$ $ 11.ProTon!Europe!Eighth!Annual!Survey!Report!(FY!2011)! ! A!schematic!representation!about!the!IP!management!by!responding!KTOs!in!FY!2010!is! reported!in!box!3.8!applications!per!KTO!(whole!sample)! ! 17!applications!per!KTO!(non1zero!values)! ! 4.8!active!patents!per!K!R&D!staff!(FTEs)! 6.7!disclosures!per!K!R&D!staff!(FTEs)! 2!disclosures!per!KTO!staff!(FTEs)! 3.7!disclosures!per!KTO!(non1zero!values)! 8.8! ! 2! ! ! 6.6!applications!per!K!R&D!staff!(FTEs)! ! 1!application!per!KTO!staff!(FTEs)! ! 1.15!d ! !Priority$patent$applications:!!!!!!!!!!!!!3.! 52" .1! $ IPR$expenditure:$ ! $ ! 51!M!in!total!(n=278)! (with!top!5!KTOs!accounting!for!32.2!K!per!KTO!(non1zero!values)! Source:#ProTon!Europe! ! !!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! 9 ! !See!note!8.!! Box$3$ $IP$management$in$2011$at$a$glance9$ $ Invention$disclosures:$$ ! $ ! ! ! ! ! ! 6.5! ! ! Active$patent$portfolio:$ ! ! ! $ ! ! ! ! 22.4! ! 3.7! ! 12.4!active!patents!per!KTO!staff!(FTEs)! 12.337!disclosures!in!total!(n=283)! (with!top!5!KTOs!accounting!for!19.358!applications!in!total$(n=285)! ! (with!top!5!KTOs!accounting!for!25.3!K!per!KTO!(whole!sample)! 291.945!active!patents!in!total!(n=280)! (with!top!5!KTOs!accounting!for!32.9! iture! 14! ! 44.9!active!patents!per!KTO!(whole!sample)! 116.4%)! 183.4!disclosures!per!KTO!(whole!sample)! 31.

! the! number! of! licences/options$ executed!in!a!certain!year!represents!a!useful!indicator.6! agreements! per! KTO).! the! 286! respondents! executed! 5.!Licensing! 7.$analyzed$by$country$ (table!7.! and! 28.2! 7.! exhibiting! a! progressive! increase! over! the! period! surveyed! (+71.9%!of! them! executed! 6! to! 50! licences/options.2! licences/options! per! KTO.5! 2.9! 4.!20.5! 4.477# Average#number# of# licences/options# 11.7! 7.8! 11.!we!notice!that!UK!KTOs!show!the!highest!average!values!(31.!and!this!can!be!considered!a!good!result!in!a!sample!including!one!fifth! of!KTOs!which!are!relatively!new!and!therefore!relatively!inexperienced.0! Total#number#of# licences/options# 3.2! 3.2! 2.9! 8.! what! really! matters!about!KT!activities!by!PROs!is!their!capacity!to!transfer!inventions!to!the!realm! of! industrial! applications.4! 2.4%!if!compared!with!FY!2006!and!+20%!if!compared!with!FY!2010).477! licences/options! for! an! average! of! 19.1! 7.1.5! 284# 100.4! 8.2).! Table$7.7! and!1.2$licensing$ agreements$in$FY$ $ progressive$and$ dramatic$increase$over$ the$period$surveyed$ 2011$ n$ 127! 59! 29! 27! 14! 13! 7! 8! %$ 44.8! 10.174# 3.5! 12.!26! KTOs!(representing! 9%!of!the!total)!executed!more!than!50! licences/options.! On! average.3! N$ 118! 48! 34! 25! 21! 14! 13! 13! %$ 41.2! licences/options!in!FY!2011.1! 6.! Irish! KTOs! executed! 4.6! 2.7.! From! this! point! of! view.7%! executed! 1! to! 5! licences/options.5! 4.$Licensing$ ! Beyond! the! number! of! invention! disclosures! and/or! patents! granted.0# 19.3! 5.0! 289# 100.0! 271# 100.7!agreements! per! KTO).9! 4.326# 5.!In!particular.7! 20.!By! considering!just!the! non\zero$ ! 53" UK$KTOs$are$top$ licensing$contractors$ (31.9! 11.!! As! observable! in! table! 7.9! 4.7$agreements$$ per$KTO)$ .574# 4.0! 286# 100.! Danish! PROs! show! the! second! highest! average! value! (7.! Totally.4# 16.3! 4.6! 7.3! 16.2! 18.! albeit! very! distant! from! UK! performances.2# Source:#ProTon!Europe! ! If!we!look!at!the!number!of!licences/options$executed$in$FY$2011.2! 9.8! n$ 165! 20! 32! 22! 21! 15! 6! 8! %$ 57.3!licences/options! per!respondent.!whereas!Spanish!and!Italian!PROs!respectively!concluded!on! average!3.1$\$Annual$number$of$licences/options$executed$$ Number$of$ licences/options$ executed$ 0! 112! 315! 6110! 11120! 21150! 511100! >100! Total#number#of# KTOs# 2006$ 2008$ 2010$ Each$European$KTO$ executed$on$average$ 19.8! n$ 117! 50! 33! 20! 24! 12! 6! 9! %$ 43.! in! 2011! about! 58%! of! KTOs! executed! at! least! one! licence/option.2# 12.1! 2.

! 7.296! (%!on!total!licences)! (41.! 2.a.!but!still!consistent!growth!trend!(+45.4%!and! +32.1! 57.9%)! Average!number!of! licences/options! 19.!Spanish!KTOs!registered! a! significant! increase! if! compared! with! data! referring! to! 2008! (+70%).7! 11.1).! ! ! ! ! ! ! ! ! ! $ $ ! 54" .6! per!KTO!(non1zero! values)! Number#of#KTOs# 286# Denmark$ Ireland$ Italy$ Spain$ UK$ 66! 230! 5.ProTon!Europe!Eighth!Annual!Survey!Report!(FY!2011)! ! Each$European$KTO$ executed$on$average$ 32.! For! Irish! KTOs.296! (50.! the! average! number! of! licences/options!concluded!by!UK!KTOs!in!2011!is!57!agreements!per!KTO.! while! UK! and! Danish!KTOs!experienced!a!more!modest.!on!average!each!European!KTO!executed!32.! the! number! of! licenses/options! was! decreased!! (111%)!in!the!200912010!period.!! ! Table$7.!in!2011!their!average!number! of!licences/options!is!respectively!equal!to!5.0! 14# 26# 49# 63# 160# 33! 81! 2.!Regarding!Spanish!and!Italian!KTOs.!A!lower!but! still! significant! number! of! licences/options! has! been! executed! in! the! year! by! Danish! KTOs!(11.2! per!KTO! Average!number!of! licences/options! 32.a.1!and!2.3%)! Source:#ProTon!Europe! ! +70%$increase$of$ licences/options$ yearly$executed$for$ Spanish$KTOs$in$the$ 20081$period$ Regarding!the!trends$observable$in$the$number$of$licences/options$yearly$executed$by$ country$(non\zero$values)!in!the!200812011!period!(figure!7.5%!over!the!last! three! years! surveyed.6$licences/options$in$ FY$2011$(non\zero$ values)$ values!in!the!sample.9!contracts).!The!performances!of!Italian!KTOs!decreased!(143.0%)! (35.6! 4.9! n.2%!respectively).2$\$Licences/options$executed$by$country$(2011)$ Country$ All$countries$ Total!number!of! 5.8%)! n.3! 3.2%)! (45.6!agreements.074! 107! 109! 95! (88.7! 31.2! 1.6! 5.6!licences/options!in! 2011.! If! we! observe! the! evidence! of! single! countries.477! licences/options! Top!5!KTOs!! 2.

2 +70.4 4.2 +32.3%).!the!average!value!being! 332.! In! particular.! $ $ $ $ $ $ $ $ $ ! 55" Each$European$KTO$ registered$average$ licensing$revenues$for$ $ incremental$trend$ (+34.6%! of! which! had! no! revenues!at!all)!is!about! 90!M.9 11.7.3).!Licensing! $ Figure$7.!! The!annual!average!revenues!exhibit!an!ambivalent!trend!in!the!whole!period!surveyed! (200612011).0%! 3 2.4%! 70 58.5%! 11.9%).4 4.! a! decrease! can! be! observed!in!the!period!200612007!(120.7%! of! the! responding! KTOs.! With! regard! to! 2011.6 9 9.9%)$in$the$period$ 20081$ .2%! 30 20 10 111.! varying! between! 200! K! and! 300! K.6%!if!compared!with!2010).7%!of!the!respondents!whose!revenues!are!higher!than! .8 5.4 57 52.! the! total! amount! of! licensing! revenues! for! the! 270! respondents! (35.4 60 50 40 39.1$\$Trend$of$average$number$of$licences/options$executed$by$country$$ (non$zero$values)$ Number$of$licences/options$executed $ +45.7 2.6 3 10 8.!with!6.0%! 143.2%!if! compared!with!2006!and!+18.!after!which!an!incremental!trend!has!been! registered!in!the!period!200812011!(+34.2!K!per!KTO!(+24.! In! 2011! the! licensing! revenues! are! higher! than! 100! K! for! 26.9 5.1 0 Denmark 2008 Italy Spain 2009 UK 2010 Ireland 2011 # Source:#ProTon!Europe! ! The! amount$ of$ licensing$ revenues! is! certainly! a! relevant! indicator! to! consider! when! assessing! the! efficiency! and! the! impact! of! KTOs! (table! 7.

! the! above! considerations! about! different! national! approaches! to! the! valorisation! of! the! results! from! public! research! as! well! as! about! different! levels! of! ripening! of! a! proper! exploitation! culture! among! European! KTOs! appears! to! be! strengthened.! the! average! amount! of! revenues! being! about! 8.! In! particular.3! 12! 4.0! 270# 100.7! 15! 6.0! n$ 93! 30! 27! 19! 9! %$ 39.5! 17! 6.6! 14.6!K!per!KTOs!by!including!in!the!sample!only!the! non1zero!values).4! 11.7!M!(with!an!incidence!of!95.000! Total#number# of#KTOs# Total# revenues# # # # # Average# revenues# # # # 2#K# Source:#ProTon!Europe! # From! the! analysis! of! the! licensing$ revenues$ registered$ by$ KTOs$ in$ 2011$ by$ country! (table! 7.0! >5001 ! >1.8! 4! 1.! on! the! one! side.7! 18! 6.8! 5.4).6! 6.!the!average!amount!of!revenues! being!about! 482.3! 18! 6.!even!if!lower!than! the! corresponding! incidence! observed! for! the! Danish! case.1! 3! 1.! Danish! KTOs! got! the! highest! average! results:! they! registered! average! revenues! of! 647.4! 19! 7.3! >1001 ! 22! 8.4! 8.6%!on!the!total!volume!referred! to! the! whole! sample! of! Danish! KTOs.7!M!per!KTO.8! n$ 96! 38! 27! 20! 17! %$ 35.3! 13! 5.3! 5! 1.2! 12.7!K!per!KTO!( 728.3$\$Annual$amount$of$licensing$revenues$ Licensing$ revenues$ $ 2006$ 0! >01 ! >101 ! >301 ! >601 ! 2008$ 2010$ 2011$ n$ 119! 32! 23! 5! 23! %$ 43.! the! total! ! 56" .1! 20! 8.ProTon!Europe!Eighth!Annual!Survey!Report!(FY!2011)! ! $ Table$7.! n=14).7! 11.7! 23! 8.1! K! per! KTO! ( 905.1! 10.0001 ! >5.0! 22! 7.!! Danish$KTOs$show$$ the$highest$average$ amount$licensing$ revenues$in$2011:$$ $ licensing$revenues$$ $ In! fact.0! 3.4! 6.9! 8.7! >2001 ! 21! 7.0! 11.0! 285# 100.0! 7.0! 237# 100.5! 3! 1.!In!2011!Danish! t !universities!obtained!licensing!revenues!whose! value!is!equal!to!about! 8.4! n$ 114! 34! 25! 16! 17! %$ 40.!In!this!case.4! 13! 4.8! 8.4! 1.!! UK!KTOs!also!exhibited!rather!high!economic!returns.6! 8! 3.4! 13! 4.0! 13! 4.7! 8.! !universities!account!for!a!significant!share!(49%)!of! the!total!revenues!referred!to!the!whole!sample!of!UK!KTOs!(n=160).9! 274# 100.9! K! by! including! in! the! sample! just! the! non1zero!values).

8%.9! M.!13.6!K!per!KTO!in!2011.!the! !universities!1!totalling! 1.!Licensing! ! universities! in! 2011! is! 37.! the! average! value!being! 7.! the! average! revenues!being! 268.7.6%$increase$of$ licensing$revenues$ for$UK$KTOs$in$the$ 20081$period$ .!n=270).!Spanish! KTOs!experienced!a!decrease!(137.!! ! ! ! ! $ $ ! 57" +17.6%).5%)! 270# Denmark$ ! Italy$ Spain$ UK$ ! ! ! ! (95.!the!average!value!being!! 7.6%)! ! (87.9!K!per!KTOs!by!including!in!the!sample!just!the!non1zero!values).! Regarding!the!bulk!of!European!KTOs!responding!to!the!ProTon!Europe!survey!referring! to! 2011.!while!Danish.!the!average!value!being! 42.! In! 2011! Italian! KTOs! registered! licensing! revenues! whose! average! value! is! ! equal! to! 31.5%! on! the! total! amount!of!the!royalties!obtained!by!the!whole!sample.8!M!per!KTO.2).2! M! (with! an! incidence! of! 43.3%!respectively).! $ licensing$revenues$$ $ licensing$revenues$$ for$Italian$KTOs$ Each$European$KTO$ registered$average$ licensing$revenues$ 2011$(non\zero$ values)! Table$7.! with! the! ! universities! accounting! for! 87.6!M!per!KTO.! the! average! amount!of! licensing!revenues! in! 2011! by! including!in! the! sample! just! the! non1zero! values! is! equal! to! 517! K! p ! universities! registered! licensing! revenues! for! 39.!122%.! UK! KTOs!registered!an! increase!if!compared!with!data!referring!to!2008!(+17.!In!this!case.6!K.0%)! ! (49.0%)! ! ! ! ! ! ! ! ! ! ! 14# 39# 57# 160# Source:#ProTon!Europe! ! Regarding! the! trends$ observable$ in$ the$ amount$ of$ the$ annual$ licensing$ revenues$ by$ country$(non\zero$values)!in! the!200812011!period! (figure!7.1!K!per!KTO!by!including!in!the!sample!just!the!non1zero!values).4$ $Licensing$revenues$by$country$(2011)$ Country$ Total!revenues! Top!5!KTOs!! (%!on!total! revenues)! Average!revenues! per!KTO! Average!revenues! per!KTO!! (non1zero!values)! Number#of#KTOs# All$countries$ ! ! (43.9!K!( 61.4%! of! the! total! volume! referred! to! the! whole!sample!of!Italian!KTOs!(n=39)!and!exhibiting!average!licensing!revenues!equal!to! 213.3!M!of!licensing!revenues!in!FY!2011!1!account!for!55%!of! the! total! revenues! referred! to! the! whole! sample! of! Spanish! KTOs! (n=57).!Italian.4%)! ! (55.! Spanish!KTOs!registered!lower!amounts!of!revenues.4!K!per!KTO!( 67.

7!contracts!were! concluded!per! 100!K!patent!fees.! ! 58" .1!per! 10!M!of!R&D!expenditure.!in!2011.1 Italy Spain 2009 2010 Source:#ProTon!Europe! 728.6!K!per! 100!K! patent!fees.5!licences/options!were!concluded!per!thousand!R&D!staff!and! 0.0%! Denmark 2008 13.9%!of!the!total).6!agreements!were!executed!per! 10.477! licenc ! KTOs! accounting!for!41.!it!emerges!that!during!the!year!a!total!number!of! 5.4! agreements! were! executed! per! KTO! staff! (FTEs).4 UK 2011 # ! Licensing$ contracting$ performances$ By! considering! some! performance$ indicators$ about$ licensing$ activities! carried! out! by! responding!KTOs!in!2011!(table!7.6 1.!By!considering!financial!resources.! the! average! amount! being! 332.! Licensing$revenues$ performances$ Finally.! 8.647.8%! Licensing$revenues$(K$Euros) $ 1800 1600 1400 1200 1000 800 600 400 200 0 1.1 1.! Again.5%!of! the! total)! was! registered! by! the! respondents! in! FY! 2011.! licensing! revenues! amounted! to! 20.6!agreements!by!considering!just!non1zero!values).9 122.456 +17.1 80.!the!average!number!being!19.1! K! per! thousand! R&D! staff! and! to! 12.6 63.5).3%! 90.2! K! per! KTO! ( 517! K! by! considering! just! non1zero! values).3 599.!in!FY!2011!licensing!income!came!to! 7.2$\$Trend$of$average$licensing$revenues$ $by$country$(non$zero$values)$ $ 137.867.!1.9 63.2!agreements!per!KTO! (32.ProTon!Europe!Eighth!Annual!Survey!Report!(FY!2011)! ! Figure$7.! In! particular.!0.6 659 619.591.6! agreements.!! In!particular.7! K! per! KTO! staff! (FTEs).2 61.9 74.7!K!per! 100!K!KTO!budget!and! 176.6%! 905.!a!total!licensing!income!of! 90!M!(with!the! !KTOs!accounting!for!43.! it! emerges! that! the! number! of! licences/options! executed! per! 10! M! R&D! expenditure! was! equal! to! 0.! By! considering! the! financial! resources! devoted! to! research! and! KT! activities.9 87.

9%)! 19.7!K!per!KTO!staff!(FTEs)!! 7.!for!those!indicators!which! are!calculated!as!ratios!(namely!average!value!per!K!R&D!staff.!Licensing! Table$7.7.6!contracts!per! 10!M!R&D!expenditure! 0.477!contracts$in!total!(n=286)! (with!top!5!KTOs!accounting!for!41.1!K!per! !10!M!R&D!expenditure! 8.!!!!!!!!!!!!! Box$4$ $Licensing$in$2011$at$a$glance11! Licences/options$executed:$ ! $ ! ! ! ! ! ! 5.477! Licensing! revenues! n# 286# 19.5%)! 332.5!contracts!per!K!R&D!staff!(FTEs)! 0.6! 108# 0.7!contracts!per! 100!K!patent!fees! Annual$licensing$revenues:$ ! $ ! ! ! ! ! ! 90!M!in!total!(n=270)! (with!top!5!KTOs!accounting!for!43.6!K!per! !100!K!patent!fees Source:#ProTon!Europe!Survey.! 59" $ .$ budget$ fees$ 0.!FY!2011# !!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! 10 !It!is!worth!pointing!out!that!for!each!performance!indicator!which!has!been!calculated!in!this! table!the!sample!size!and!composition!varies!significantly.1!K!per!K!R&D!staff!(FTEs)! 12.2!contracts!per!KTO!(whole!sample)! 32.7! 104# 100# ! ! 91# 86# 274# ! 257# Source:#ProTon!Europe! ! A! schematic! representation! about! licensing! activities! by! responding! KTOs! in! 2011! is! reported!in!box!4.2!K!per!KTO!(whole!sample)! 517!K!per!KTO!(non1zero!values)$$ 20.7!K!per! ! 176.5! ! 174# Per$ KTO$ staff$ (FTE)$ 0.2! 5# 32.!In!particular.! 11 ! !See!note!10.6! 10.296! (41.9%)! 5.4! 110# 123# K! K! 95# Per$$ Per$$ Per$$ 10$M$ 100$K$ 100$K$ R&D$ patent$ exp.6! 286# ! M! (43.5%)! 270# 5# 168# ! 270# 1.4!contracts!per!KTO!staff!(FTEs)!! 0.5$ $Some$performance$indicators$about$licensing$in$201110$ Variables$ Licences/! options! executed! n# Top$5$ Average$ Per$K$ Average$$ (%$on$ (non\zero$ R&D$ per$KTO$ total)$ values)$ staff$ All$$ KTOs$ 2.6!contracts!per!KTO!(non1zero!values)$$ 1.6!contracts!per! ! 10.! ! average! have!been!included!in!the!sample.!average!value!per!KTO!staff!(FTE).

4%! of! the! respondents! generated! 11! to! 20! companies.2! 4.!In!particular.7! 16.0! 293# 100.9! 19.0! 288# 100.0! n$ 149! 46! 33! 16! 12! 12! 12! 7! 1! %$ 51.9$new$spin\offs$in$FY$ 2011.6! 4.!Spain.5! 3.! whereas! the! residual! 2.4! 0.! showing! that! the! annual! average! number! of! newly! established! companies! keeps! quite! stable! over! the! period! surveyed.2).4! 5.5! 7.8! 4.8.! In! this! respect.1! 1.! By! looking! at! the! distribution! of! the! responding! KTOs.8! 6.1! reports! the! number$ of$ spin\off$ companies$ created$ per$ year.2! 2.!36.2).6# 1.6! and! 1.! the! average! number! being! 1.$more$or$less$the$ same$as$in$previous$ years$ Another!activity!traditionally!performed!by!KTOs!is!the!support!for!the!creation!of!spin1 off! companies.5! 6.!the!total!number!of!spin1off!companies!started!in!2011! with! the! support! of! the! 288! responding! KTOs! is! 549.!! ! 60" .! 51.3! 1.0! 170# 100.! A! further! 8.! Table$8.! 0.7! 0.7%!of!the!respondents!did!not!generate!any!companies.6# 1.5! 5.!The!corresponding!average!number!for!Danish!KTOs!is!equal!to!0.1! 5.4! 0.2! new! companies! per! KTO).2! 6.9# 1.5! 18.5! 5.6!new!spin1offs! per!KTO.6! 6.2)$ created$in$FY$2011$ If!we!look!at!the!number!of!spin\off$companies$created$in$2011$by$country!(table!8.!UK!and!Ireland!also!exhibit!a!relevant!spinning1off!rate!for!each!KTO!in!2011! (the! average! number! being! respectively! equal! to! 1.8! 0.! table! 8.3! n$ 139! 59! 30! 20! 12! 13! 15! 5! 0! %$ 47.9! companies!per!KTO.9! new!firms!per!KTO.2! 4.3%! PRO!registered!more!than!20!cases!of!creation!of!new!ventures!in!2011.8! 3.! 8.! varying! between! 1.3! 293# 100.1! 4.7! and! 1.$Spin\off$companies$ ! Each$European$KTO$ created$on$average$ 1.! Italian! KTOs! show! the! highest! average! number! of! newly! created! spin1off! companies! (3.2! 13.4%! of! respondents! started! 5! to! 10! companies.1! 1.0! Total# number#of# spinNoffs# 473# 480# 579# 549# Average# number#of# spinNoffs# 1.0! N$ 74! 31! 23! 13! 11! 6! 9! 3! 0! %$ 43.4! 20.! 1.1! 10.1\$Number$of$spin\off$companies$created$per$year$ Number$of$ spin\offs$ 0! 1! 2! 3! 4! 516! 7110! 11120! >20! Number# KTOs# 2006$ 2008$ 2010$ 2011$ n$ 149! 56! 20! 19! 18! 17! 9! 4! 1! %$ 50.9# Source:#ProTon!Europe! $ Italian$KTOs$show$the$ highest$average$number$ of$new$spin\offs$(3.1! 6.1%!of!them!created!1!to!4! companies.! we! can! observe! that! in! 2011.0! 11.! In! the! sample.

2! new! firms! per!KTO.0! 1.1$ active$spin\ ! progressive$increase$ over$the$period$ surveyed$ ! .0! 7.1! companies! per! KTO! (+35.3! n.8! 6.! 5.9!new!spin1off!companies.! 110! 43! 77! (67.1%! of! the! respondents!registered!6!to!15!companies!and!20.9$ new$spin\offs$in$FY$ 2011.1! 0.a.4! 2011$ n$ 12! 12! 19! 23! 20! 13! 10! 1! %$ 10.! Each$European$KTO$ created$on$average$3.2! 15.9! 139# 100.2! 11.1! 10.!Lower!but!still!significant!average!results!have!been!registered!by!Spanish!and! Danish!KTOs.0! 19.4! 2.!the!total$ number$of$active$spin\offs$as!of!December!31st!2011!is!1.! in! 2011! each! European! KTO! generated!on!average!3.0! 3.2$ $Spin\offs$created$by$country$(2011)$ Country$ Total!spin1offs! Top!5!KTOs! (%!on!total!spin1offs)! Average!spin1offs!per!KTO! Average!spin1offs!per!KTO! (non1zero!values)! Number#of#KTOs# All$ Denmark$ Ireland$ countries$ 549! 8! 31! Italy$ Spain$ UK$ 164! 111! 266! 151! (27.2# %$ 31.271# 11.!which!in!2011!created!respectively!2.9%)! 1.0! 16.5! 10.6! 1.0! Total#number#of#spinNoffs# Average#number#of#spinNoffs# ! 2006$ 1.3).0! 10.553# 9.2%!of!them!presented!more!than!16! companies.!10.3!new!companies.1%! of! them! counted! 1! to! 5! companies.1! 18.8! 12.9! 1.1! 1.2! 1.1# Source:#ProTon!Europe! # ! ! n$ 89! 34! 30! 47! 18! 33! 25! 4! 61" 2010$ N$ 25! 14! 25! 23! 19! 10! 21! 2! %$ 18.8!and!1.5! 15.5! 8.! Table$8.1%)! (38.9%!of!respondents!did!not!exhibit!any!active!spin1off!company! at! the! end! of! 2011! and! 27.!with!1!KTOs!(accounting!for!0.7! 16.3$\$Annual$number$of$active$spin\off$companies$as$of$December$31st$ Number$of$ active$spin\offs$ ! 2008$ 0! 112! 315! 6110! 11115! 16125! 26160! >60! n$ 62! 39! 21! 31! 16! 14! 14! 3! %$ 31.7! 3.9! 10.9%!of!the!total!number!of!respondents)!from! which!over!60!spin1off!companies!have!gemmated!up!to!the!end!of!2011.0! 280# 100.9%! if! compared! with! 2010).218# 11.9! 17.9! 0.8# 1.218.8.8! 8.3! 20.8! 1.a.9! 1.!If!we!observe!the!evidence!of!single! countries.5! Number#of#KTOs# 200# 100.1# For$each$European$KTO$ the$average$number$of$ active$spin\off$at$the$ end$of$FY$2011$is$11.5%)! 7! (87.!Spin1off!companies! By! considering! just! the! non\zero$ values! in! the! sample.5! 2.2! 288# 14# 26# 51# 63# 160# Source:#ProTon!Europe! ! Considering!the!110!KTOs!which!provided!this!kind!of!information!(table!8.$(non\zero$values)$ ! Table$8.642# 8.! 38.4! 11.7! 7.9! 18.0! 7.!More!precisely.0! 110# 100.7%)! (28.5! 13.5! and! 4.8! 9.4%! if! compared! with! 2006! and! 15.! Italy! and! UK! KTOs! registered! on! average! respectively! 5.8! 4.5%)! n.2! 3.!the!average!number!being! 11.

4)$ at$the$end$of$2011$ For$each$European$KTO$ the$average$number$of$ active$spin\off$at$the$ end$of$FY$2011$is$12.8%)! 203! (34.9! 12.!If! we! observe! the! evidence! of! single! countries.1! 12.!the!average!number! of!spin1offs!created!was!1.5).5%!of!the!total.! the! total! number! of! spin\off$ companies$ created$ during$ the$ year$ by! the! responding!KTOs!was!549!firms!(with!the! !KTOs!accounting!for!27.! Italian! and! Spanish! KTOs! registered! on! average!12.! and!therefore!much!less!than!the!case!of!patenting!and!licensing).9!firms!per!KTO!(3.2%)! 189! (29.ProTon!Europe!Eighth!Annual!Survey!Report!(FY!2011)! ! Italian$KTOs$show$the$ highest$average$number$ of$active$spin\offs$(12.3! spin1offs! per! KTO! staff! (FTEs).4! 9.4! 12.! whereas! if! we! take! into! account! financial!resources.4).!! By! considering! just! the! non\zero$ values! in! the! sample.!In!2011.4!active!firms!per!KTO.! the! average! number! of! active! spin1off!companies!per!European!KTO!as!of!December!31st!2011!is!equal!to!12.! ! 62" .8%)! 11.4!firms.4! 12.!! $ Table$8.4).6! spin1offs! per! 100! K! of! KTO! budget!and!1!spin1offs!per! 100!K!of!patent!fees.4$ active$spin\offs$$ (non\zero$values)$ If! we! look! at! the! number! of! active$ spin\off$ companies$ as$ of$ December$ 31st$ 2011$ by$ country! (table! 8.! Italian! KTOs! show! the! highest! average! number! of! active! spin1off! companies!(12.!it!emerges!that!during!the!year!they!registered!the!creation!of! 0.! 0.!the!respondents!generated!on!average!1.9!by!including!in!the!sample!just!the!non1 zero!values).! !!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! 12 ! Spanish! values! refer! to! spin1off! companies! created! in!the! last! five! years! and! still! active! as! of! December!31st!2011.!Spain!exhibit!a!relevant!active!spin1off!portfolio!for!each!KTO!in!2011! (9.4! 110# 51# 59# Source:#ProTon!Europe! ! When! we! consider! some! performance$ indicators$ about! spin1off! companies! in! 2011! (table! 8.218! 634! 584! 246! (20.3!spin1offs!per!thousand! of! R&D! staff! and! 0.9!companies).5! spin1off! companies! per! 10! M! of! R&D! expenditure.4$ $Active$spin\off$companies$as$of$December$31st$2011$(2011)$ Country$ Total!spin1offs! Top!5!KTOs! (%!on!total!spin1offs)! Average!spin1offs!per!KTO! Average!spin1offs!per!KTO!(non1 zero!values)! Number#of#KTOs# All$countries$ Italy$ Spain12$ 1.

! a have!been!included!in!the!sample.5%)! n# 288# 5# Active! 246! 1.!At!the!end!of!the!year.!for!those!indicators!which! are!calculated!as!ratios!(namely!average!value!per!K!R&D!staff.!2.!! $ $ $ $ $ $ $ $ $ $ !!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! 13 !It!is!worth!pointing!out!that!for!each!performance!indicator!which!has!been!calculated!in!this! table!the!sample!size!and!composition!varies!significantly.2%!of!which!were!generated!by! the! ! KTOs.5! 106# 2.$ (FTE)$ budget$ fees$ 0.2%)! n# 110# 5# 1.4! companies!by!including!in!the!sample!just!the!non1zero!values).1! firms! per! KTO! (12.218.2! 108# 0.5$ $Performance$indicators$about$spin\off$companies$in$201113$ Variables$ All$$ KTOs$ Top$5$ Average$ Per$K$ Average$$ (%$on$ (non\zero$ R&D$ per$KTO$ total)$ values)$ staff$ Spin1offs! 151! 549! created! (27.0! 99# Source:#ProTon!Europe! ! A! schematic! representation! about! spin1off! activities! by! responding! KTOs! in! 2011! is! reported!in!box!5.!average!value!per!KTO!staff!(FTE).2!active!spin1offs!per!thousand!of!R&D!staff.! the!respondents!registered!6.!20.5!firms!per! 100!K!of! KTO!budget!and!22!companies!per! 100!K!of!patent!fees.4! 103# 0.! The! average! active! spin1 was! 11.6! 101# 2.3! 125# 1.9! 288# 11.!2.2! 98# 108# Per$ Per$$ Per$$ Per$$ KTO$ 100$K$ 100$K$ 10$M$ staff$ patent$ R&D$exp.9! 3.4!companies!per! 10!M!of!R&D!expenditure.2!firms!per! KTO!staff!(FTEs).! Table$8.4! 110# 111# 6.!Spin1off!companies! ! The! total! number! of! active$ spin\offs$ as$ of$ December$ 31st$ 2011! generated! by! the! responding!KTOs!was!on!the!whole!equal!to!1.1! 1.!1.8.5! 97# 1.218! spin1offs! (20.! ! 63" Active$spin\off$ management$ performances$ .!In!particular.3! 136# 12.0! 265# 22.

5!new!spin1offs!per! 10!M!R&D!expenditure! 0.4!active!spin1offs!per! 10!M!R&D!expenditure! 2.5%)! 1.2!active!spin1offs!per!KTO!staff!(FTEs)!! 2.9!new!spin1offs!per!KTO!(non1zero!values)$! 1.! 64" .5!active!spin1offs!per! 100!K! ! 22!active!spin1offs!per! 100!K!patent!fees! Source:#ProTon!Europe! !!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! 14 ! !See!note!13.218!active!spin1offs!in!total!(n=110)! (with!top!5!KTOs!accounting!for!20.9!new!spin1offs!per!KTO!(whole!sample)! 3.2%)! 11.ProTon!Europe!Eighth!Annual!Survey!Report!(FY!2011)! ! Box$5$\ $Spin\off$companies$in$2011$at$a$glance14$ $ Number$of$spin\offs$created:$ ! $ ! ! ! ! ! ! 549!new!spin1offs!in!total!(n=288)! (with!top!5!KTOs!accounting!for!27.6!new!spin1offs!per! ! 1!new!spin1offs!per! 100!K!patent!fees! Number$of$active$spin\offs:$ ! $ ! ! ! ! ! ! 1.3!new!spin1offs!per!KTO!staff!(FTEs)!! 0.1!active!spin1offs!per!KTO!(whole!sample)! 12.2!active!spin1offs!per!K!R&D!staff!(FTEs)! 1.4!active!spin1offs!per!KTO!(non1zero!values)$! 6.3!new!spin1offs!per!K!R&D!staff!(FTEs)! 0.

............4.......! # ! 65" ............!Fully!or!predominantly!private!non1profit!research!institution! ...!Fully!or!predominantly!governmental!research!institution! ..! Appendix:$ProTon$Europe$Annual$Survey$Questionnaire$$ $ ! $ Survey$of$Knowledge$Transfer$ activities$in$Europe$(FY$2011)$ $ Section$0:$General$ Do! you! agree! that! the! information! you! will! provide! on! your! institution! can! be! made! public! by! ProTon!Europe?!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !Yes! !!!! !!No! $ Part$1:$CORE$QUESTIONS$$ Recommended!by!the!European!Commission's!Expert!Group!! on!Knowledge!Transfer!Metrics...................! A2..!Does!the!KTO!serve!more!than!1!institution?!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!! !Yes! A1...............................! A2............$ A2....$Background$variables$ A1:$The$institutions$served$by$the$KTO!! A1...2....! A2.............2............1..........3.......!University!or!other!higher!education!institution! ..!Hospital!(linked!to!a!university!or!independent)! .!how!many?! !!!!!! !!No! ...!Other! .......5....! A..!If!yes....1...................................! ! A2:$Types$of$institutions$served$by$the$KTO! Number#of#PROs#served#by#your#KTO#on#a#permanent#and#privileged#base:! A2...

............!etc..# Include# time# spent# by# academic# staff# on# research......#a#fiscal#year#(ending#what# date)..!! ! [Include#share#of#academic#costs#dedicated#to#research.2!A!fiscal!year!ending!on!....#engineering....................#Exclude#time#spent#by#academic#staff#on#teaching]# # ! 66" .........!industry...%! ! A6:$Reference$year$ Does#the#KTO#report#for#a#calendar#year#(January#1st#to#December#31st)..........FTEs! ! A5:$Total$KTO$costs$ ! .1!Total!expenditures!on!all!types!of!basic!and!applied!research!(science!and!humanities)!! in!the!affiliated!institution(s)!from!all!funding!sources:!all!levels!of!government......%! [Include#all#research#expenditures#for#biology...#chemistry..#in#this#survey?# A6....!! A6..#costs#of#administrative#support#and# capital#expenditures#on#new#equipment...............#part#and#full#time#researchers).......#physics.!Calendar!year!(January!1st!2011!to!December!31st!2011)!! A6............#Exclude#cost#of#new#buildings#or#land]# B1......# researchers#on#fellowships.....#administrative#and#support#staff#for#knowledge#transfer#activities]# A4...# PhD# students.FTEs$ [Average# number# of# research# personnel# in# the# reference# year# in# Full# Times# Equivalents# (FTEs).....1!Year!of!foundation!of!your!KTO! $ .......1!Total!number!of!KTO!staff!in!full1time!equivalents!(FTEs)! !......! A4:$KTO$size$ A4......1..#mathematics#and# computing#sciences]# ! B2:$Research$personnel$in$the$reference$year$$ ...2!What!percentage!of!research!expenditures!!were!for!science!research?!......#or#an#academic#year.......!! non1profit!foundations...$Denominators$(for$calculating$standardised$indicators)$ # B1:$Research$expenditures$in$the$reference$year$ B1..ProTon!Europe!Eighth!Annual!Survey!Report!(FY!2011)! ! A3:$KTO$age$ E1.# other# researchers# (postNdocs......#technicians#and#administrative#support# personnel.........2!Number!of!professional!staff!(FTEs)! .................FTEs! [Include#all#professional..3!An!academic!year!201112012! !Yes! !Yes! !Yes! !No! !No! !No! $ B.

.................. ! [Total#income#from# all#types#of# knowNhow#and# IP# (patents.# confidentiality# agreements...#An# option#grants#the#potential#licensee#a#time#period#to#evaluate#the#technology#and#negotiate#the# terms#of#a#licence...2!Number!of!new!patent!applications!filed!to!the!EPO! .......................#Count#multiple#(identical)#licences#with#a#value#each#of#less#than#500# Euros#as#one#licence..! ! C4......! [Include# all# licences....! ! C5.................# with# the# results# usually# provided# to# the# firm..3!Number!of!new!patent!grants!from!the!USPTO! ........! ! C1..............! [Agreements#where#the#PRO#provides#expert#advice#without#performing#new#research]# # C1............2!Number!of!new!patent!grants!from!the!EPO! ............Appendix! C..................$ [Technically#unique#patents#granted..# option# fees# and# milestone...# Exclude# cases# where# the# firm# funds# a# research# chair# or# other#research#of#no#expected#commercial#value#to#the#firm....................................................#A#licence#grants#the#right#to#use#IP#in#a#defined#field#of#use#or#territory..........1$Number$of$research$agreements$ ...)...................$ [New#priority#patent#applications...#An#assignment#transfers#all#or#part#of#the#right#to#IP#to#the#licensee]# ! C6...%! C1...........# it# is# important# to# clarify# that# EPO# or# USPTO# applications# may# or# may# not# be# priority# applications.......# plant# breeder# rights..2.......3...# material# transfer# agreements.......#Exclude#double#counting.# Include# license# issue# fees...............$ [Descriptions#of#inventions#or#discoveries#that#are#evaluated#by#the#KTO#staff#or#other#technology# experts#to#assess#their#commercial#application]# " ! C3..........# NonNpriority# EPO# or# USPTO# applications# may# be# technically# equivalent# to# priority# patent#applications#submitted#in#other#jurisdictions#in#the#same#year#or#earlier]# C3... ! [Include#every#type#of#research#agreement#(collaboration.$Performance$indicators$$ C1..............#such#as#a#patent#application#for#the# same#invention#in#more#than#one#patent#jurisdiction....!Number!of!contract!research!agreements:!! [Agreements#where#all#research#is#performed#by#the#PRO]! ......!Number!of!collaborative!research!agreements:!! ..#contract)#or#of#consultancy#contracts]# ! C2$Number$of$invention$disclosures$received$during$the$year$$ ..........1.....!Number!of!consultancy!agreements:!! ..................)# before# disbursement# to# the# inventor# or# other# parties............# contribute#to#its#implementation#and#share#the#project#outputs]! ! C1.....# designs.......3!Number!of!new!patent!applications!to!the!USPTO! ......# Include# collaborative# agreements# where# both# partners# provide# funding# and# share# the# results.#If#questions#about#EPO#or#USPTO#patents#are# asked.................# patents..........#Count#a#patent#grant#for#the#same#invention#in#two#or#more# countries#as#one#technically#unique#patent..# annual# fees..# Exclude# license# income# forwarded# to# other# institutions# than# those#served#by#the#KTO#or#to#companies]# ! 67" .! [Agreements#where#both#the#firm#and#the#PRO#participate#in#the#design#of#the#research#project..# copyright......! C4.........5!Share!of!total!research!expenditures!funded!by!the!private!sector! ..#trademarks.....#Also#exclude#consultancy#contracts]# C1........# knowNhow.........$ [All# contracts# where# a# firm# funds# the# PRO# to# perform# research# on# behalf# of# the# firm........#it#cannot#be#counted#again]# C4...............# etc.............# options# and# assignments# (LOAs)# for# all# types# of# IP# (copyright...6!Financial!value!of!all!research!agreements:! ........$Total$number$of$licences$executed!! ....#If#a#technically#unique#patent#grant#has#been#counted# in#a#previous#year.1$Total$number$of$priority$patent$applications!! .4....#etc.........! C3....# termination# and# cashNin# payments...$Total$licence$income$earned$ .$Total$number$of$new$patent$grants$ ........

5!For1profit!entity.!bound!by!a!written!and!preferential!services!agreement! !Yes! !No!! ! 68" ..2!Science!&!Technology!Park! ! ! ! E3........$Number$of$spin\offs$established$during$the$year$ .10!Agreements!with!seed!capital!funds!or!business!angel!networks! !Yes! !No! ! ! E2..ProTon!Europe!Eighth!Annual!Survey!Report!(FY!2011)! ! C7...#check#all#that#apply...! licences..3!Selling!expertise/consultancy/services!to!industry! !Yes! !No! E1..3!For1profit!entity.6!Licensing! !Yes! !No!! E1...# but# do# not# limit# to.1!Department/unit!of!the!PRO(s)! !Yes! !No! E3.$Incubators$and$Science$Parks$ Number#of#PROs#served#by#your#KTO#with:# E2.$ [A#new#company#expressly#established#to#develop#or#exploit#IP#or#knowNhow#created#by#the#PRO# and# with# a# formal# contractual# relationship# for# this# IP# or# knowNhow.2!Seeking!and/or!managing!research!contracts!with!industry! !Yes! !No! E1..!bound!by!a!written!and!preferential!services!agreement! !Yes! !No!! E3.!or!about!inventions...9!Management!of!Science!and!Technology!Parks! !Yes! !No! E1..8!Continuous!Professional!Development!(CPD)!! !Yes! !No! E1..!patents..!You!are!therefore! invited!to!write!in!the!box!below!one!or!more!success/original!"cases"!(each!one!no!more!than! 150!words!long)!about!the!organization!and!staffing!of!the!KTO..2!Non!for1profit!entity.!whose!majority!is!controlled!by!the!PRO(s)! !Yes! !No!! E3.!but!they!are!important! for!the!stakeholders!involved!in!the!Knowledge!Transfer!process!at! European!level.# Include.# spinNoffs# established# b startNups# that# do# not# sign# a# formal# agreement# for# developing# IP# or# knowNhow# created# by# the# institution]# D..4!Managing!the!patent!portfolio! !Yes! !No!! E1...! $ ! E1 $ Does#your#KTO#undertake#the#following#activities?#Please..$Success$stories$ In!the!next!survey!report.1!Business!incubator! ! ! E2.# E3.!whose!majority!is!controlled!by!the!PRO(s)! !Yes! !No!! E3.5!Scouting!for!new!IP/technology! !Yes! !No!! E1.4!Non!for1profit!entity..! PART$2$:$OPTIONAL$QUESTIONS$ The!following!questions!are!non1obligatory..# E1..# such# as# a# license# or# equity# agreement.1!Seeking!and/or!managing!research!contracts!from!government!organizations! !Yes! !No! E1...!"boxes"!about!success!stories!will!be!introduced.7!Creation!of!spin1off!companies! !Yes! !No! E1.$Legal$relationship$with$the$PRO(s)$served$ Which#is#the#legal#relationship#between#your#KTO#and#the#PRO(s)#served?#Please#check#all#that# apply..!spin1offs!or!other!related!topics.

.!technical!services)! ! E5.# Exclude# cases# where# the# firm# funds# a# research# chair# or# other# research# of# no# expected# commercial# value# to# the# firm...$Financial$sources$of$total$R&D$expenditure$in$the$reference$year$ Percentage#of#the#total#R&D#expenditure#in#the#reference#year#covered#by#the#following#financial# sources:# E4.2!Financial!value!of!collaborative!research!agreements:!! ..# contribute#to#its#implementation#and#share#the#project#outputs]# # F1...1!Industry! ! ! E4.#with#the#results#usually#provided#to#the#firm....#Include#collaborative#agreements#where#both# partners# provide# funding# and# share# the# results.3!Number!of!patent!applications!(PCT!I)!filed!to!the!EPO! ! F3.....4!Number!of!patent!applications!(PCT!I)!filed!to!the!USPTO! ! ! $ ! 69" ..3!Self1financing!from!patenting/know1how!(revenues!from!licensing! activities.4!Financial!value!of!consultancy!agreements:!! [Agreements#where#the#PRO#provides#expert#advice#without#performing#new#research]# # ! ! F2..$Financial$value$of$research$agreements$$ $ [Financial#value#of#all#contracts#where#a#firm#funds#the#PRO#to#perform#research#on#behalf#of#the# firm..# Also# exclude# consultancy# contracts]# F1.!collaborative!research.2!Number!of!priority!patent!applications!jointly!owned!with!one!or!more!third!parties! ! ! ! $ F3.!patent!assignments...Appendix! ! E4....1$Total$number$of$patent$applications$(PCT$I)$ $ F3.2!Number!patent!applications!(PCT!I)!filed!to!the!national!patent!office! ! F3.$Supplementary$performance$indicators$ ! F1.0 ! [Agreements#where#both#the#firm#and#the#PRO#participate#in#the#design#of#the#research#project.3!Donations! ! E4 ! ! ! Total!amount!of!the!R&D!expenditure!in!the!reference!year! ! E5 $ Percentage#of#the#K 11111111111111111111111111111! !!!!!!!!!!!!!100%! # E5 ! ! E5.1!Number!of!priority!patent!applications!filed!to!the!national!patent!office! ! F2.2!Self1financing!from!research!agreements!(revenues!from!research!and! consultancy!contracts....$Priority$patent$applications! F2..2!Government!offices!and!agencies! ! E4..3!Financial!value!of!contract!research!agreements:!! [Agreements#where#all#research#is#performed#by#the#PRO]# ! # F1.!participation!to!spin1 ! ! ! ce!year! ! ! 11111111111111111111111111111! !!!!!!!!!!!!!!100%! ! F.

.#this#number#includes# all#the#grants#obtained#in#the#reference#year.1$Total$number$of$patent$grants$ ! [Differently#from#the#new#patent#grants#(technically#unique#patent#grants).3!Number!of!patents!granted!by!the!EPO! ! F5.3!Number!of!patent!extensions!filed!to!the!USPTO! ! ! F4...$Total$amount$of$patent$fees$paid$in$the$reference$year$ [Including#the#external#legal#fees#paid#for#patent#applications.4!USPTO:!number!of!active!patents! (priority!patent!applications!+!PCT!I!applications!+!PCT!II!applications!+!grants)! ! F6.5!Number!of!national!validations!! (post!PCT!II!procedure)! ! ! F7.....1$Total$number$of$patent$extensions$(normally$PCT$II...2!Number!of!patents!granted!by!the!national!patent!office! ! F5.ProTon!Europe!Eighth!Annual!Survey!Report!(FY!2011)! ! F4.#maintenance#and#prosecution# during#the#reference#year#(not#including#litigation#costs.4!Number!of!patent!extensions!filed!to!other!patent!offices! ! ! ! F5..# reNassigned# or# expired#patents)]# F6.$ [Include# both# active# patent# applications# filed# and# active# patents# granted# as# of# the# end# of# the# reference# year# (number# of# active# patent# portfolio.......3!EPO:!number!of!active!patents! (priority!patent!applications!+!PCT!I!applications!+!PCT!II!applications!+!grants)! ! F6....#if#any)]# ! ! 70" $ ..# excluding# the# cases# of# sold...2!Number!of!patent!extensions!filed!to!the!EPO! ! ! F4.1$Total$number$of$active$patents$at$the$end$of$the$reference$year$ .#even#if#they#are#related#to#the#same#invention#and# also# even# if# the# corresponding# technically# unique# patent# grant# has# been# counted# in# a# previous# year]# F5....$but$not$exclusively)$ $ F4.4!Number!patents!granted!by!the!USPTO! ! ! F6.2!National!patent!office:!number!of!active!national!patents!! (priority!patent!applications!+!PCT!I!applications!+!grants)!! ! F6...

.! F9...Appendix! F8..# such# as# a# license# or# equity# agreement..3!Number!of!active!spin1off!companies!with!a!formal!equity!agreement!with!the!PRO! ...! F9......4! Revenues! generated! in! the! reference! year! from! profits! and/or! sales! of! equity! in!! spin1offs!in!which!your!PRO/KTO!holds!equity! ! F9..1!Number!of!active!spin1off!companies!at!the!end!of!the!reference!year! .........# Include.......# but# do# not# limit# to.....# spinN startNups# that# do# not# sign# a# formal# agreement# for# developing# IP# or# knowNhow# created# by# the# institution]# F9........5!Active!spin1 he!reference!year! ! F9..1!Number!of!exclusive!licences......! F9...# for# developing# IP# or# knowNhow# developed#by#the#parent#PRO(s)]# ! ! 71" ...$Total$number$of$other$start\up$companies$ .........$Spin\off$companies! [New#companies#expressly#established#to#develop#or#exploit#IP#or#knowNhow#created#by#the#PRO# and# with# a# formal# contractual# relationship# for# this# IP# or# knowNhow.!options!and!assignments!executed!with!non1EU!partners!in!the!year ! ! ! F9.2!Number!of!active!spin1off!companies!with!a!formal!licence!agreement!with!the!PRO!........# with# a# formal# knowledge# transfer# agreement...7!Number!of!spin1off!companies!which!have!closed!down!in!the!reference!year! ......FTEs! F9.2!Number!of!licences....6!Average!number!of!employees!in!active!spin1off!companies!in!the!reference!year! .! ! F10.........$Licensing$activities$in$the$reference$year! F8.# Exclude# spinNoff# companies...!options!and!assignments!executed!in!the!year!!! ! F8..! [Other# new# companies# involving# people# (staff# or# students)# from# the# PRO(s).........

! Financial! sources! include:! (i)! (including! personnel! and! ordinary! expenses).! etc.! KTO$(Knowledge$Transfer$Organization):$outside!organization!or!department!unit!(not! physical!persons)!involved!in!the!transfer!of!knowledge!from!PROs.! partnering! with! industry! and!the!creation!of!new!companies.! contribute! to! its! implementation! and! share!the!project!outputs.! Assignment:$agreement!granting!the!right!to!use!IP!in!a!defined!field!of!use!or!territory.! FTE$(Full$Time$Equivalents):!People!working!part1time!are!only!included!for!the!fraction! that!they!are!employed.! contract! costs.!administrative!and!support!staff!for!KT! activities.!that!are!entrusted!by! one!or!several!PROs!with!a!substantial!activity!in!the!transfer!of!knowledge!from!those! PROs.!(iii)!selfN financing# from# patenting/knowNhow! (revenues! from! licensing! activities.! patent! portfolio! management! costs.! Contract$research$agreements:!agreements!where!all!research!is!performed!by!the!PRO.!(ii)!selfNfinancing#from#contracted#and#collaborative#research#(revenues!from! research!and!consultancy!contracts.! patent! assignments.!software.!technical!services).!including! outsourcing! costs.!the!value!that!accrues!to!the!owners.! Extension:!a!PCT!application!or!a!patent!application!in!another!country!than!that!where! priority!patent!has!been!filed.! excluding!the!cases!of!sold.!re1assigned!or!expired!patents).!! Consultancy$agreements:$agreements!where!the!PRO!provides!expert!advice!without! performing!new!research.!etc.!registered!designs.! !total!expenditures!of!the!KTO!on!technology!transfer!activities.! Internal$clients:!approximate!number!of!academic!and!research!PRO!personnel!actually! served!by!the!KTO!for!the!KTO!activities!managed!during!the!reference!year.! Equity:!financial!term!for!the!difference!betwee is.! Invention$ disclosures:! descriptions! of! inventions! or! discoveries! that! are! evaluated! by! the!KTO!staff!or!other!technology!experts!to!assess!their!commercial!application.! External$ clients:! approximate! number! of! external! partners! (both! private! and! public.! licensing.ProTon!Europe!Eighth!Annual!Survey!Report!(FY!2011)! ! Glossary$ $ Active$ patent$ portfolio:$ including! both! active! patent! applications! filed! and! active! patents!granted!as!of!the!end!of!the!reference!year!(number!of!active!patent!portfolio.! Collaborative$ research$ agreements:! agreements! where! both! the! firm! and! the! PRO! participate!in! the!design!of! the!research! project.! both! national! and! foreign! partners)! actually! served! by! the! KTO! for! the! KTO! activities! managed!during!the!reference!year!(in!particular!regarding!contracted!and!collaborative! R&D.!collaborative!research.!consultancy!and!technical!services!in!the!reference!year).! IPR$(Intellectual$Property$Rights):!patents.! including! intellectual! property! management.!participation!to!spin1 ! $ number! of! full1time! equivalent! (FTE)! staff! involved! in! the! KT! activities! carried!out!by!the!KTO.!Include!all!professional.! ! 72" .

! with!a!formal!knowledge!transfer!agreement.! and! provides! for! the! communication! of! the! international! application! and! related!documents!to!designated!Offices.! Licence:$agreement!granting!the!right!to!use!IP!in!a!defined!field!of!use!or!territory.! option! fees! and! milestone.! New$ patent$ grants:! technically! unique! patents! granted.!maintenance!and!prosecution!during!the!reference!year!(not!including! litigation!costs.!If!questions!about!EPO!or!USPTO!patents!are!asked.! Other$ start\up$ companies$ (not$ included$ among$ spin\off$ companies):! other! new! companies! involving! people! (staff! or! students)! from! the! PRO(s).! etc.! Option:$agreement!transferring!all!or!part!of!the!right!to!IP!to!the!licensee.!such!as!a!patent!applications!for!the!same!invention!in!more!than!one!patent! jurisdiction.! this! number! includes! all! the! grants! obtained! in! the! reference! year.!Licence!income!forwarded!to!other!institutions!than!those!served!by!the!KTO! or!to!companies!is!excluded.! Patent$fees:$amount!of!IPR!expenditure!including!the!external!legal!fees!paid!for!patent! applications.! Spin1off! companies.! Include! license! issue! fees.Appendix! Licence$ income$ earned:! total! income! from! all! types! of! know1how! and! IP! (patents.!it!is!important!to!clarify! that! EPO! or! USPTO! applications! may! or! may! not! be! priority! applications.! and! provides! for! the! communication! of! the! international!preliminary!examination!report!and!certain!related!documents!to!elected! Offices.! international! publication! of! the! international! application.! establishment! of! the! written! opinion! of! the! International! Searching! Authority.! A! patent! grant! for! the! same! invention!in!two!or!more!countries!must!be!counted!as!one!technically!unique!patent.! copyright.!for!developing!IP!or!know1how!developed! by!the!parent!PRO(s)!are!excluded.! designs.! Non1priority! EPO!or!USPTO!applications!may!be!technically!equivalent!to!priority!patent!applications! submitted!in!other!jurisdictions!in!the!same!year!or!earlier.!If! a! technically! unique! patent! grant! has! been! counted! in! a! previous! year.! Priority$ patent$ applications:$ new! priority! patent! applications.! Priority$ filing$ of$ a$ patent$ application:$ the! first! filing! under! the! form! of! a! provisional.! PRO$ (Public$ Research$ Organizations):$ universities! and! other! research! institutions! funded!primarily!by!public!funds.! annual! fees.! confidentiality! agreements.)! before! disbursement! to! the! inventor! or! other! parties.! material! transfer! agreements.!if!any).! regional! (EP! of! other)! or! international! (PCT)! patent! application!from!which!priority!date!all!national!patents!will!derive.! international! search.! ! 73" .! PCT$(Patent$Cooperation$Treaty):!the!Treaty!makes!it!possible!to!seek!patent!protection! for! an! invention! simultaneously! in! each! of! a! large! number! of! countries! by! filling! an! ! PCT$ I$ (Chapter$ I):! the! chapter! of! the! PCT! regulating! the! filing! of! the! international! application.! Patent$grants:$differently!from!the!new!patent!grants!(technically!unique!patent!grants).! excluding! double! counting.! national! patent! application.! plant! breeder! rights.! termination! and! cash1in! payments.! it! cannot! be! counted!again.! even! if! they! are! related! to! the! same! invention! and! also! even! if! the! corresponding! technically! unique! patent!grant!has!been!counted!in!a!previous!year.! PCT$ II$ (Chapter$ II):! the! chapter! of! the! PCT! regulating! the! optional! international! preliminary! examination! procedure.

! legal! and! business! administrative!staff.!spin1offs!established! 1ups!that!do!not!sign!a!formal!agreement!for!developing!IP! or!know1how!created!by!the!institution!are!excluded.! Reference$ year:$ twelve1month! period! about! which! the! KTO! is! reporting.! etc.! It! can! be! a! calendar!year!(January!1st!to!December!31st).! researchers! on! fellowships.! PhD! students.! such!as!a!license!or!equity!agreement.! technicians! and! administrative! support! personnel.! Research$and$Development$expenditures:$total!R&D!expenditures.!performance!of!tests$$ ! ! 74" .! part! and! full! time! researchers).! Exclude! time! spent! by! academic!staff!on!teaching.! industry.! Research$personnel:!average!number!of!research!personnel!in!the!reference!year!in!Full! Times! Equivalents! (FTEs).! Revenue:!it!is!the!amount!of!money!that!the!PRO!receives!from!its!KT!activities.! Include! collaborative! agreements!where!both!partners!provide!funding!and!share!the!results.! non1profit! foundations.! The! amount!includes!share!of!academic!costs!dedicated!to!research.!a!fiscal!year!(ending!on!a!different!date).!costs!of!administrative! support! and! capital!expenditures! on! new! equipment.!Cases!where!the! firm! funds! a! research! chair! or! other! research! of! no! expected! commercial! value! to! the! firm!are!excluded.ProTon!Europe!Eighth!Annual!Survey!Report!(FY!2011)! ! ! professional! position! whose! duties! include! any! management! task! (liaison.! evaluation.!Include.!on!all!types!of!basic! and! applied! research! (science! and! humanities)! in! the! affiliated! institution(s)! from! all! funding! sources:! all! levels! of! government.!These!may!include!the!use!of!special! infrastructure.! with! the! results! usually! provided! to! the! firm.! Technical$services:!the!sale!of!services!for!a!fee.! other! researchers! (post1docs.! negotiation.! Include! time! spent! by! academic! staff! on! research.! Exclude! cost! of! new! buildings! or! land.! Research$agreements:$all!contracts!where!a!firm!funds!the!PRO!to!perform!research!on! behalf! of! the! firm.! administration.! Spin\off:! a! new! company! expressly! established! to! develop! or! exploit! IP! or! know1how! created!by!the!PRO!and!with!a!formal!contractual!relationship!for!this!IP!or!know1how.! marketing.!but!do!not!limit!to.! Seed$capital:!money!that!is!given!to!someone!to!help!start!a!new!business.!or! an!academic!year.!Consultancy!contracts!are!also!excluded.