NIST GCR 02-829
Universities as Research Partners⁽³²⁾

Appendix B: Survey Instruments

Appendix B1. Survey instrument for joint ventures with no university involvement.

UNIVERSITIES AS RESEARCH PARTNERS:
A Survey Conducted for the Advanced Technology Program at NIST
by
Professor Bronwyn Hall — University of California at Berkeley
Professor Albert Link — University of North Carolina at Greensboro
Professor John Scott — Dartmouth College

Thank you for agreeing to participate in this ATP-sponsored survey. The primary purpose of this survey is to explore the composition of the membership of your ATP-funded joint venture. All specific information from this survey will remain confidential; only summary findings will be incorporated into a final report to ATP.

Please respond to each of the following background questions using the response format noted in each question.

Question 1:
Prior to this ATP-funded project, my organization has __________ (please select one response—frequently/infrequently/never) been involved with a university in a research project.

Question 2:
Did you or the members of the joint venture consider a university research partner?

Question 3:
If NO to Question 2, was there a particular reason why a university was not considered as a research partner?

Question 4:
If YES to Question 2, did you or the members of the joint venture proceed to identify a research partner?

Question 5:
If YES to Question 4, what criteria did you use to identify a university research partner?

Question 6:
If YES to Question 4, briefly explain why the partnership did not come about? For example, were intellectual property issues a stumbling block? Were particular universities problematic?

Question 7:
If NO to Question 4, were there barriers that prevented identification of potential university partners, and if so what were they?
Please respond from the perspective of the joint venture to the following statements using a response scale ranging from 7 = strongly agree to 1 = strongly disagree. If you do not have an opinion, please respond with “n/a.”

Statement 1:
This research project has experienced difficulties acquiring and assimilating basic knowledge necessary for the project’s progress.

Statement 2:
Potential new applications of the technology being developed have been recognized over the course of the project.

Statement 3:
At this stage of the research, it appears that the technology will be developed and commercialized sooner than expected when the project began.

Please complete the following statements.

Statement 4:
The number of conceptual research problems encountered in this project has been _____ (please select one response—more than/less than/about the same as) expected when the project began.

Statement 5:
The number of equipment-related research problems encountered in this project has been _____ (please select one response—more than/less than/about the same as) expected when the project began.

Statement 6:
The number of personnel-related research problems encountered in this project has been _____ (please select one response—more than/less than/about the same as) expected when the project began.

Statement 7:
To date, approximately ___ percent of the research time devoted to this project has, in retrospect, been unproductive.

Statement 8:
To date, approximately ___ percent of the financial resources devoted to this project has, in retrospect, been unproductive.

Please return by facsimile as soon as possible your completed questionnaire to Professor Albert Link. Again, thank you for your participation in this project.

Appendix B2. Survey instrument for joint ventures with university involvement as a subcontractor.

UNIVERSITIES AS RESEARCH PARTNERS:
A Survey Conducted for the Advanced Technology Program at NIST
by
Professor Bronwyn Hall — University of California at Berkeley
Professor Albert Link — University of North Carolina at Greensboro
Professor John Scott — Dartmouth College

Thank you for agreeing to participate in this ATP-sponsored survey. The primary purpose of this survey is to explore the role of university subcontractors in your ATP-funded project. All specific information from this survey will remain confidential; only summary findings will be incorporated into a final report to ATP.

Please respond to each of the following background questions using the response format noted in each question.

Question 1:
Prior to this ATP-funded project, my organization has __________ (please select one response—frequently/infrequently/never) been involved with a university as a subcontractor in a research project.

Question 2:
Prior to this ATP-funded project, my organization has __________ (please select one response—frequently/infrequently/never) been involved in a research relationship with a university.

Question 3:
The university subcontractors in this ATP-project were selected because of (please rank the items below from 1 = most important to least important; no ties please):

Question 4:
The decision to involve a university in the project as a subcontractor as opposed to as a research partner was based on which of the following factors (please rank the items below from 1 = most important to least important; no ties please):

Please respond from the perspective of the non-university members of the joint venture to the following statements using a response scale ranging from 7 = strongly agree to 1 = strongly disagree. If you do not have an opinion, please respond with “n/a.”

Statement 1:
This research project has experienced difficulties acquiring and assimilating basic knowledge necessary for the project’s progress.
strongly agree.

Statement 2:
Potential new applications of the technology being developed have been recognized over the course of the project.

Statement 3:
At this stage of the research, it appears that the technology will be developed and commercialized sooner than expected when the project began.

Statement 4:
The decision to involve a university as a subcontractor compared to a for-profit company as a subcontractor was based primarily on cost considerations.

Statement 5:
The decision to involve a university as a subcontractor compared to a for-profit company as a subcontractor was based primarily on technical capabilities.

Statement 6:
Based on the performance of the university subcontractor thus far in the project, a university would be selected over a for-profit company as a subcontractor again for a similar research project.

Please complete the following statements.

Statement 7:
The number of conceptual research problems encountered in this project has been _____ (please select one response—more than/less than/about the same as) expected when the project began.

Statement 8:
The number of equipment-related research problems encountered in this project has been _____ (please select one response—more than / less than / about the same as) expected when the project began.

Statement 9:
The number of personnel-related research problems encountered in this project has been _____ (please select one response—more than / less than / about the same as) expected when the project began.

Statement 10:
To date, approximately ___ percent of the research time devoted to this project has, in retrospect, been unproductive.

Statement 11:
To date, approximately ___ percent of the financial resources devoted to this project has, in retrospect, been unproductive.

Statement 12:
If intellectual property issues were an important reason for being concerned about including a university as a subcontractor in your joint venture, would you briefly describe the types of issues that were of concern?

Do you perceive that these issues would have been __________ (please select one response—greater / lesser / the same) if the university was included as a research partner rather than as a subcontractor? Please explain.

Please return by facsimile as soon as possible your completed questionnaire to Professor Albert Link. Again, thank you for your participation in this project.

Appendix B3. Survey instrument for joint ventures with
university involvement as a research partner.

UNIVERSITIES AS RESEARCH PARTNERS:
A Survey Conducted for the Advanced Technology Program at NIST
by
Professor Bronwyn Hall — University of California at Berkeley
Professor Albert Link — University of North Carolina at Greensboro
Professor John Scott — Dartmouth College

Thank you for agreeing to participate in this ATP-sponsored survey. The primary purpose of this survey is to explore intellectual property issues associated with the universities participating as research partners in your ATP-funded project. All specific information from this survey will remain confidential; only summary findings will be incorporated into a final report to ATP.

Please respond to each of the following background questions using the response format noted in each question.

Question 1:
Prior to this ATP-funded project, my organization has __________ (please select one response—frequently/infrequently/never) been involved in a research relationship with a university.

Question 2:
The university research partners in this ATP-project were invited to participate because of (please rank the items below from 1 = most important to least important; no ties please):.

Please respond from the perspective of the non-university members of the joint venture to each of the following statements using a response scale ranging from 7 = strongly agree to 1 = strongly disagree. If you do not have an opinion, please respond with “n/a.”

Statement 1:
I expected at the time that this project was proposed to ATP that the technology to be developed in this project would be licensed outside of the joint venture.

Statement 2:
I now expect that the technology developed in this project will be licensed outside of the joint venture.

Statement 3:
University research participation in this project has increased the probability that the technology developed will be licensed outside of the joint venture.

Statement 4:
I was concerned at the time that the project was proposed to ATP that if universities were involved in the project, demands for licensing rights to the technology being developed would be difficult to resolve.

Statement 5:
I am now concerned that university demands for licensing rights to the technology being developed will become difficult to resolve.

Statement 6:
If the technology developed in this project is licensed outside of the joint venture, I expect the research universities to share revenues equally with the non-university members of the joint venture.

Statement 7:
I expected at the time that this project was proposed to ATP that the technology to be developed in this project would be patented.

Statement 8:
I now expect that the technology developed in this project will be patented.

Statement 9:
University research participation in this project has increased the probability that the technology being developed will be patented.

Statement 10:
I was concerned at the time that the project was proposed to ATP that if universities were involved in the project the ability of members of the joint venture to appropriate the technical knowledge from the project would be impaired.

Statement 11:
I am now concerned that university involvement in the project will impair the ability of members of the joint venture to appropriate the technical knowledge from the project.

Statement 12:
I was concerned at the time that the project was proposed to ATP that there would be research delays owing to university “red tape” about intellectual property rights issues.

Statement 13:
I am now concerned that there will be research delays owing to university “red tape” about intellectual property rights as the project approaches completion.

Statement 14:
University involvement as a research participant in this project provides a window on the various uses of the technology being developed that non-university members of the joint venture would not likely have recognized.

Statement 15:
This research project has experienced difficulties acquiring and assimilating basic knowledge necessary for the project’s progress.

Statement 16:
Potential new applications of the technology being developed have been recognized over the course of the project.

Statement 17:
At this stage of the research, it appears that the technology will be developed and commercialized sooner than expected when the project began.

Please complete the following statements.

Statement 19:
The number of equipment-related research problems encountered in this project has been _____ (please select one response—more than/less than/about the same as) expected when the project began.

Statement 20:
The number of personnel-related research problems encountered in this project has been _____ (please select one response—more than/less than/about the same as) expected when the project began.

Statement 21:
To date, approximately ___ percent of the research time devoted to this project has, in retrospect, been unproductive.

Statement 22:
To date, approximately ___ percent of the financial resources devoted to this project has, in retrospect, been unproductive.

Statement 23:
If intellectual property issues were an important reason for being concerned about including a university in your joint venture, would you please elaborate on the types of issues that were of concern?

Statement 24:
If there are arrangements that entail the sharing of future revenues with the university partners, would you please elaborate on the nature of these arrangements (e.g., licensing fees, royalties, etc.) including some of the specifics of the arrangements (e.g., relevant percentages).

Please return by facsimile as soon as possible your completed questionnaire to Professor Albert Link. Again, thank you for your participation in this project.

Appendix B4. Survey instrument for joint ventures with
university involvement as both research partners and as subcontractors.

UNIVERSITIES AS RESEARCH PARTNERS:
A Survey Conducted for the Advanced Technology Program at NIST
by
Professor Bronwyn Hall — University of California at Berkeley
Professor Albert Link — University of North Carolina at Greensboro
Professor John Scott — Dartmouth College

Thank you for agreeing to participate in this ATP-sponsored survey. The primary purpose of this survey is to explore the research role versus subcontractor role of universities in your ATP-funded project. All specific information from this survey will remain confidential; only summary findings will be incorporated into a final report to ATP.

Please respond to each of the following background questions using the response format noted in each question.

Question 1:
Prior to this ATP-funded project, my organization has __________ (please select one response—frequently/infrequently/never) been involved in a research relationship with a university.

Question 2:
Prior to this ATP-funded project, my organization has __________ (please select one response—frequently/infrequently/never) been involved with a university as a subcontractor to a research project.

Question 3:
The university research partners in this ATP-project were selected to participate because of (please rank the items below from 1 = most important to least important; no ties please):

Question 4:
The university subcontractors in this ATP-project were selected because of (please rank the items below from 1 = most important to least important; no ties please):

Question 5:
What are the extended research benefits (i.e., research benefits beyond the scope of this particular research project) associated with having a university involved as a research partner compared to as a subcontractor?

Question 6:
What differences are there in the intellectual property issues associated with a university as a research partner compared to a university as a subcontractor?

Please respond from the perspective of the non-university members of the joint venture to the following statements using a response scale ranging from 7 = strongly agree to 1 = strongly disagree. If you do not have an opinion, please respond with “n/a.”

Statement 1:
University research partners are more integral to the overall research project than are university subcontractors.

Statement 2:
Technological capabilities are the primary factor that determines whether a university has the role of a research partner as opposed to the role of a subcontractor.

Statement 3:
The decision to involve a university as a subcontractor compared to a for-profit company as a subcontractor was based primarily on technical capabilities.

Statement 4:
The decision to involve a university as a subcontractor compared to a for-profit company as a subcontractor was based primarily on cost considerations.

Statement 5:
The decision to involve a university as a subcontractor was made after the project began in response to an unexpected technical need.

Statement 6:
At this stage of the project I am of the opinion that the most effective way to involve a university in a research joint venture is as a subcontractor as opposed to as a research partner.

Statement 7:
There is more “red tape” associated with having a university as a research partner in a joint venture as opposed to as a subcontractor.

Statement 8:
University involvement as a research participant in this project provided a window on the various uses of the technology being developed that non-university members of the joint venture would not likely have recognized.

Statement 9:
This research project has experienced difficulties acquiring and assimilating basic knowledge necessary for the project’s progress.

Statement 10:
Potential new applications of the technology being developed have been recognized over the course of the project.

Statement 11:
At this stage of the research, it appears that the technology will be developed and commercialized sooner than expected when the project began.

Please complete the following statements.

Statement 12:
The number of conceptual research problems encountered in this project has been _____ (please select one response—more than / less than / about the same as) expected when the project began.

Statement 13:
The number of equipment-related research problems encountered in this project has been _____ (please select one response—more than / less than / about the same as) expected when the project began.

Statement 14:
The number of personnel-related research problems encountered in this project has been _____ (please select one response—more than / less than / about the same as) expected when the project began.

Statement 15:
To date, approximately ___ percent of the research time devoted to this project has, in retrospect, been unproductive.

Statement 16:
To date, approximately ___ percent of the financial resources devoted to this project has, in retrospect, been unproductive.

Statement 17:
We were unsuccessful in attracting certain universities to participate in this research project as research partners.

Statement 18:
We were unsuccessful in attracting certain universities to participate in this research project as subcontractors.

Please return by facsimile as soon as possible your completed questionnaire to Professor Albert Link. Again, thank you for your participation in this project.

Appendix B5. Survey instrument for single applicants
with no university involvement.

UNIVERSITIES AS RESEARCH PARTNERS:
A Survey Conducted for the Advanced Technology Program at NIST
by
Professor Bronwyn Hall — University of California at Berkeley
Professor Albert Link — University of North Carolina at Greensboro
Professor John Scott — Dartmouth College

Thank you for agreeing to participate in this ATP-sponsored survey. The primary purpose of this survey is to explore why your ATP-funded project was undertaken in the absence of any university research assistance. All specific information from this survey will remain confidential; only summary findings will be incorporated into a final report to ATP.

Please respond to each of the following background questions using the response format noted in each question.

Question 1:
Prior to this ATP-funded project, my organization has __________ (please select one response—frequently/infrequently/never) been involved with a university in a research project.

Question 2:
Did you consider having a university participate in this project as a research partner?

If YES to Question 2, what criteria did you use to identify the university research partner?
      1.
      2.
      3.

If YES to Question 2, briefly explain why the partnership did not come about.

If NO to Question 2, were there barriers that prevented identification of potential university partners, and if so what were they?

Question 3:
Were intellectual property issues an important reason for not including a university as a research partner in this study?

If YES to Question 3, briefly explain what these issues were.

Question 4:
Were intellectual property issues an important reason for not including another company as a research partner in this study?

If YES to Question 4, briefly explain what these issues were.

Please respond to the following statements by circling a response scale ranging from 7 = strongly agree to 1 = strongly disagree. If you do not have an opinion, do not respond to the statement.

Statement 1:
This research project is of too small a scale to warrant another company as a research partner.

Statement 2:
This research project is of too small a scale to warrant a university as a research partner.

Statement 3:
This research project concerns proprietary research so another company as a research partner would not be warranted.

Statement 4:
This research project concerns proprietary research so a university as a research partner would not be warranted.

Statement 5:
There was insufficient time during the preparation of the research proposal to identify an appropriate company to be a research partner.

Statement 6:
There was insufficient time during the preparation of the research proposal to identify an appropriate university to be a research partner.

Statement 7:
This research project has experienced difficulties acquiring and assimilating basic knowledge necessary for the project’s progress.

Statement 8:
Potential new applications of the technology being developed have been recognized over the course of the project.

Statement 9:
At this stage of the research, it appears that the technology will be developed and commercialized sooner than expected when the project began.

Please complete the following statements using one of the response phrases.

Statement 10:
The number of conceptual research problems encountered in this project has been _____ (please select one response—more than / less than / about the same as) expected when the project began.

Statement 11:
The number of equipment-related research problems encountered in this project has been _____ (please select one response—more than / less than / about the same as) expected when the project began.

Statement 12:
The number of personnel-related research problems encountered in this project has been _____ (please select one response—more than / less than / about the same as) expected when the project began

Statement 13:
To date, approximately ___ percent of the research time devoted to this project has, in retrospect, been unproductive.

Statement 14:
To date, approximately ___ percent of the research time devoted to this project has, in retrospect, been unproductive.

Please return by facsimile as soon as possible your completed questionnaire to Professor Albert Link. Again, thank you for your participation in this project.

Appendix B6. Survey instrument for single applicants with university
involvement as subcontractors.

UNIVERSITIES AS RESEARCH PARTNERS:
A Survey Conducted for the Advanced Technology Program at NIST
by
Professor Bronwyn Hall — University of California at Berkeley
Professor Albert Link — University of North Carolina at Greensboro
Professor John Scott — Dartmouth College

Thank you for agreeing to participate in this ATP-sponsored survey. The primary purpose of this survey is to explore the role of university subcontractors in your ATP-funded project compared to for-profit companies. All specific information from this survey will remain confidential; only summary findings will be incorporated into a final report to ATP.

Please respond to each of the following background questions using the response format noted in each question.

Question 1:
Prior to this ATP-funded project, my organization has __________ (please select one response—frequently/infrequently/never) been involved with a university as a subcontractor in a research project.

Question 2:
The university subcontractors in this ATP-project were selected because of (please rank the items below from 1=most important to least important; no ties please):

Question 3:
Did you consider a for-profit subcontractor to participate in this study but chose a university subcontractor instead?

If YES, briefly explain why.

If NO, briefly explain why.

Question 4:
Were intellectual property issues an important reason for including a university as a subcontractor rather than as a research partner?

If YES, briefly explain why.

Question 5:
Does your collaborative arrangement with the university subcontractor entail the sharing of future revenues associated with the development and commercialization of technology from this project?

If YES, would you describe, in general terms, this arrangement? For example, does the arrangement involve sharing licensing fees? Royalties? Profits? Can you divulge what these percentages are using a range of values rather than a specific percentage? How well does this arrangement work from the perspective of your company?

Please respond to the following statements using a response scale ranging from 7 = strongly agree to 1 = strongly disagree. If you do not have an opinion, please respond with “n/a.”

Statement 1:
University subcontractors are perceived to be easier to work with than for-profit subcontractors.

Statement 2:
University subcontractors are perceived to be less expensive than for-profit subcontractors.

Statement 3:
Based on my experience thus far in this project, I would consider a university subcontractor again for a similar research project.

Statement 4:
Based on my experience thus far in this project, I would consider a university subcontractor again for a similar research project.

Statement 5:
Potential new applications of the technology being developed have been recognized over the course of the project.

Statement 6:
At this stage of the research, it appears that the technology will be developed and commercialized sooner than expected when the project began.

Please complete the following statements.

Statement 7:
The number of conceptual research problems encountered in this project has been ____ (please select one response–more than/less than/about the same as) expected when the project began.

Statement 8:
The number of equipment-related research problems encountered in this project has been ____ (please select one response–more than/less than/about the same as) expected when the project began.

Statement 9:
The number of personnel-related research problems encountered in this project has been _____ (please select one response—more than / less than / about the same as) expected when the project began.

Statement 10:
To date, approximately ____ percent of the research time devoted to this project has, in retrospect, been unproductive.

Statement 11:
To date, approximately ____ percent of the financial resources devoted to this project has, in retrospect, been unproductive.

Please return by facsimile as soon as possible your completed questionnaire to Professor Albert Link. Again, thank you for your participation in this project.

___________________
32. The spacing on the survey instruments has been compressed for this report. Univariate statistics for our respondents are shown on the surveys.

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Date created: October 18, 2002
Last updated: August 2, 2005

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