Survey of STEM Faculty in Higher Education, Trends in Filing Invention Disclosure

This study looks at who files invention disclosure reports, and how often. The study helps answer questions such as: which academic fields account for the most invention disclosure reports? How many reports are typically filed by faculty with more than $10 million in lifetime academic grants vs. those with less than $1 million? What is the record of men relative to women? Or tenured faculty vs. the untenured on a tenure track.

The study also gives highly detailed data on the individuals and entities that encourage faculty to file invention disclosure reports, with specific data separately for the influence of department chair, other fellow faculty, the university research office, and the university technology transfer office or its equivalent.

The report also looks at how easy or difficulty faculty find it to file an invention disclosure report and gives detailed faculty opinion on the terms of the split of revenues between faculty and university that result when invention disclosures turn into marketable patents, spin offs, licenses or other revenue producing intellectual property or arrangements.

Just a few of this 49-page study’s many findings are that:

Almost all those who found the TTO extremely or very effective in the invention disclosure process were over age 49.
12.55% of STEM-related faculty sampled have filed an invention disclosure report.
Favorable views of revenue splits offered by universities for patents, licenses and other revenue producing intellectual property or entities were highest among those with more than $10 million in lifetime academic grant receipts.

THE QUESTIONNAIRE

Characteristics of the sample

INSTITUTIONAL AFFILIATIONS OF THE SURVEY PARTICIPANT

SUMMARY OF MAIN FINDINGS

Percentage of Respondents Who Have Ever Filed an Invention Disclosure Report
Number of Invention Disclosure Reports Filed Over the Past Two Years
Perceived Ease of Filing an Invention Disclosure Report
Views on the Overall Effectiveness of the Technology Transfer Office in Processing Invention Disclosure Reports
Critical Influencers in the Decision to File an Invention Disclosure Report
Views on the Favorability of Revenue Splits for Patent, Licensing and Similar Revenues
Table 1.1 Have you ever filed an invention disclosure report with your college or university?
Table 1.2 Have you ever filed an invention disclosure report with your college or university? Broken out by enrollment
Table 1.3 Have you ever filed an invention disclosure report with your college or university? Broken out by age of respondent
Table 1.4 Have you ever filed an invention disclosure report with your college or university? Broken out by political views
Table 1.5 Have you ever filed an invention disclosure report with your college or university? Broken out by lifetime receipt of research grants
Table 1.6 Have you ever filed an invention disclosure report with your college or university? Broken out by tenure status
Table 1.7 Have you ever filed an invention disclosure report with your college or university? Broken out by gender of respondent
Table 1.8 Have you ever filed an invention disclosure report with your college or university? Broken out by race or ethnicity
Table 1.9 Have you ever filed an invention disclosure report with your college or university? Broken out by academic field
Table 2.1 How many invention disclosure reports have you filed in the past two years?
Table 2.2 How many invention disclosure reports have you filed in the past two years? Broken out by enrollment
Table 2.3 How many invention disclosure reports have you filed in the past two years? Broken out by age of respondent
Table 2.4 How many invention disclosure reports have you filed in the past two years? Broken out by political views
Table 2.5 How many invention disclosure reports have you filed in the past two years? Broken out by lifetime receipt of research grants
Table 2.6 How many invention disclosure reports have you filed in the past two years? Broken out by tenure status
Table 2.7 How many invention disclosure reports have you filed in the past two years? Broken out by gender of respondent
Table 2.8 How many invention disclosure reports have you filed in the past two years? Broken out by race or ethnicity
Table 2.9 How many invention disclosure reports have you filed in the past two years? Broken out by academic field
Table 3.1 In your view how easy is it to file an invention disclosure report at your institution?
Table 3.2 In your view how easy is it to file an invention disclosure report at your institution? Broken out by enrollment
Table 3.3 In your view how easy is it to file an invention disclosure report at your institution? Broken out by Table age of respondent
Table 3.4 In your view how easy is it to file an invention disclosure report at your institution? Broken out by political views
Table 3.5 In your view how easy is it to file an invention disclosure report at your institution? Broken out by lifetime receipt of research grants
Table 3.6 In your view how easy is it to file an invention disclosure report at your institution? Broken out by tenure status
Table 3.7 In your view how easy is it to file an invention disclosure report at your institution? Broken out by gender of respondent
Table 3.8 In your view how easy is it to file an invention disclosure report at your institution? Broken out by race or ethnicity
Table 3.9 In your view how easy is it to file an invention disclosure report at your institution? Broken out by academic field
Table 4.1 If you have ever filed an invention disclosure report how effective was your university technology transfer office or its equivalent in advising and serving you?
Table 4.2 If you have ever filed an invention disclosure report how effective was your university technology transfer office or its equivalent in advising and serving you? Broken out by enrollment
Table 4.3 If you have ever filed an invention disclosure report how effective was your university technology transfer office or its equivalent in advising and serving you? Broken out by age of respondent
Table 4.4 If you have ever filed an invention disclosure report how effective was your university technology transfer office or its equivalent in advising and serving you? Broken out by political views
Table 4.5 If you have ever filed an invention disclosure report how effective was your university technology transfer office or its equivalent in advising and serving you? Broken out by lifetime receipt of research grants
Table 4.6 If you have ever filed an invention disclosure report how effective was your university technology transfer office or its equivalent in advising and serving you? Broken out by tenure status
Table 4.7 If you have ever filed an invention disclosure report how effective was your university technology transfer office or its equivalent in advising and serving you? Broken out by gender of respondent
Table 4.8 If you have ever filed an invention disclosure report how effective was your university technology transfer office or its equivalent in advising and serving you? Broken out by race or ethnicity
Table 4.9 If you have ever filed an invention disclosure report how effective was your university technology transfer office or its equivalent in advising and serving you? Broken out by academic field
Table 5.1 Which entity or person played the most critical role in encouraging you to file your last invention disclosure report?
Table 5.2 Which entity or person played the most critical role in encouraging you to file your last invention disclosure report? Broken out by enrollment
Table 5.3 Which entity or person played the most critical role in encouraging you to file your last invention disclosure report? Broken out by age of respondent
Table 5.4 Which entity or person played the most critical role in encouraging you to file your last invention disclosure report? Broken out by political views
Table 5.5 Which entity or person played the most critical role in encouraging you to file your last invention disclosure report? Broken out by lifetime receipt of research grants
Table 5.6 Which entity or person played the most critical role in encouraging you to file your last invention disclosure report? Broken out by tenure status
Table 5.7 Which entity or person played the most critical role in encouraging you to file your last invention disclosure report? Broken out by gender of respondent
Table 5.8 Which entity or person played the most critical role in encouraging you to file your last invention disclosure report? Broken out by race or ethnicity
Table 5.9 Which entity or person played the most critical role in encouraging you to file your last invention disclosure report? Broken out by academic field
Table 6.1 How favorable to you are the terms offered by your university to divide (or not) revenues resulting from patents, licenses, or other revenues derived from your invention disclosure report?
Table 6.2 How favorable to you are the terms offered by your university to divide (or not) revenues resulting from patents, licenses, or other revenues derived from your invention disclosure report? Broken out by enrollment
Table 6.3 How favorable to you are the terms offered by your university to divide (or not) revenues resulting from patents, licenses, or other revenues derived from your invention disclosure report? Broken out by age of respondent
Table 6.4 How favorable to you are the terms offered by your university to divide (or not) revenues resulting from patents, licenses, or other revenues derived from your invention disclosure report? Broken out by political views
Table 6.5 How favorable to you are the terms offered by your university to divide (or not) revenues resulting from patents, licenses, or other revenues derived from your invention disclosure report? Broken out by lifetime receipt of research grants
Table 6.6 How favorable to you are the terms offered by your university to divide (or not) revenues resulting from patents, licenses, or other revenues derived from your invention disclosure report? Broken out by tenure status
Table 6.7 How favorable to you are the terms offered by your university to divide (or not) revenues resulting from patents, licenses, or other revenues derived from your invention disclosure report? Broken out by gender of respondent
Table 6.8 How favorable to you are the terms offered by your university to divide (or not) revenues resulting from patents, licenses, or other revenues derived from your invention disclosure report? Broken out by race or ethnicity
Table 6.9 How favorable to you are the terms offered by your university to divide (or not) revenues resulting from patents, licenses, or other revenues derived from your invention disclosure report? Broken out by academic field

THE QUESTIONNAIRE

1. Please answer the following:

A. Name:
B. Institution
C. Title (associate, professor, instructor, etc.)
D. Academic Field
E. Country:
F. Email Address:

2. Which Carnegie Class description best fits your college?

A. Community College
B. BA-Granting Institution
C. Specialized College (i.e., performing arts, seminary, etc.)
D. MA-PHD Granting College
E. Level 1 or Level 2 Research University

3. Your college or university is public or private?

A. Public
B. Private

4. What is the approximate full time equivalent enrollment of your college/university?

5. Which age band best describes you:

A. 30 or Under
B. 31-39
C. 40-49
D. 50-59
E. 60 or over

6. Which phrase best describes your political views

A. Left of Liberal
B. Liberal
C. Middle of the Road
D. Conservative
E. Right of Conservative

7. What amount best approximates your lifetime receipt of research grants

A. Never received a grant
B. Less than $100,000
C. $100,000 to $500,000
D. $500,000 to $2,000,000
E. $2,000,000 to $10,000,000
F. More than $10,000,000

8. You are:

A. Tenured
B. Not tenured but on a tenure track
C. Not tenured and not on a tenure track

9. Which phrase best describes your gender?

A. Female
B. Male
C. Transgender

10. Which phrase best describes your race or ethnicity

A. White or Caucasian
B. Black or African American
C. Hispanic or Latino
D. Asian or Asian American
E. Indigenous
F. Mixed Race

11. Your academic field is best described by which of the following designations

A. Social Sciences
B. Engineering
C. Economics/Finance
D. Medicine
E. Mathematics/Statistics/Computer Science
F. Hard Sciences (Chemistry, Biology, Physics)
G. Allied Health: Nursing, Occupation or Physical Therapy, Nutrition, etc.
H. Earth and Environmental Sciences
I. Architecture
J. Other (please specify

12. Have you ever filed an invention disclosure report with your college or university?

A. Yes
B. No

13. How many invention disclosure reports have you filed in the past two years?

14. In your view how easy is it to file an invention disclosure report at your institution?

A. Very easy
B. Easy
C. Neither easy nor difficult
D. Difficult
E. Very difficult

15. If you have ever filed an invention disclosure report how effective was your university technology transfer office or its equivalent in advising and serving you?

A. Extremely effective
B. Very effective
C. Somewhat effective
D. Not so effective
E. Not at all effective

16. Which entity or person played the most critical role in encouraging you to file your last invention disclosure report?

A. Fellow Faculty
B. Research Office
C. Tech Transfer Office
D. Department Chair
E. Other (please specify)

17. How favorable to you are the terms offered by your university to divide (or not) revenues resulting from patents, licenses, or other revenues derived from your invention disclosure report?

A. Extremely favorable
B. Very favorable
C. Somewhat favorable
D. Not so favorable
E. Not at all favorable

INSTITUTIONAL AFFILIATIONS OF THE SURVEY PARTICIPANT

Albert Einstein College of Medicine
Baylor College of Medicine
Boston College
Brigham Young University
Cal State Univ San Bernardino
California Northstate University
California State University, San Bernardino
Caltech
Carleton College
Carnegie Mellon University
Colgate University
CU Boulder
CUNY City College
Dartmouth College
DPBH
Drexel University
Flathead Valley Community College
Florida Atlantic University
Florida State University
Framingham State University
Friedman Nutrition School Tufts University
Graduate Center City Univ. NY
GVSU
Harvard University
Hofstra Medical School
Icahn School of Medicine
Jacobi Medical Center
JHSPH
Johns Hopkins University
Johnson & Wales University
Kent State University
KSOM of USC
Lincoln University
Loma Linda University
Louisiana Tech University
Loyola Marymount University
LSU Health Sciences Center
Medical College of Wisconsin
Miami Dade College
Michigan State University
Middlebury College
Montefiore Einstein
Morrison
NC State University
Norfolk State University
Norris Cancer Center
North Carolina State University
North Shore Community College
Ohio State University
Okinawa Institute of Science and Technology
Oklahoma State University
Old Dominion University
Oregon State University
Penn State University - UP
Phelps Northwell
SUNY- University at Buffalo
Texas Christian University
Texas State University
The City College of New York
The Cooper Union
The State University of New York at Buffalo
Tidewater Community College
Tufts University
Tusculum University
UAB
UC Davis
UC Irvine
UC Riverside
UC Santa Barbara
UCCS
UCLA
UMass Med School
UMBC
Union College
University of Colorado Anschutz Medical Campus
University at Buffalo
University of Arizona
University of Arkansas
University of Arkansas Clinton School of Public Service
University of California, Berkeley
University of Central Florida
University of Cincinnati
University of Colorado Denver
University of Florida
University of Maryland, Baltimore County
University of Minnesota
University of Mississippi
University of Oregon
University of Sioux Falls
University of Southern California
University of Southern California, School of Pharmacy
University of Tennessee
University of Texas at Dallas
University of Utah
University of Wisconsin-Milwaukee
Utah State University
UW Milwaukee
Virginia Tech
Warner Pacific University
Weill Cornell Medical College
West Virginia University

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Table of Contents

Methodology

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