KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research

KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research
Main findings and conclusions of the Benchmarking Study of National and Regional IPR Support Services for SMEs Presentation Alfred Radauer (Senior Researcher, Austrian Institute for SME Research) Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

The Research Team

Overview Technopolis Group project partner Fritz Ohler Katharina Warta Saverio Romeo European Network for Social and Economic Research (ENSR) Co-ordinator Austrian Institute for SME Research (KMFA) Alfred Radauer Jürgen Streicher Sonja Sheikh Expert and Dissemination Pool Serge Quazzotti Ruth Taplin Monika Krasny Simon Fawcett Guriqbal Singh-Jaiya (sub-contractors) ENSR and European partners covering the 31 European countries (sub-contractors) non-European research partners Rosalie Ruegg (USA) Jorge Niosi/Peter Hanl (Canada) Ruth Taplin (Japan) Elisabeth Webster (Australia) (sub-contractors) organisation of the Dissemination Conference Service-GMBH of the Austrian Federal Chamber of Commerce (WKÖ) (sub-contractor) under the patronage of the Austrian Patent Office Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Austrian Institute for SME Research
Founded: 1952 (2003: name change to KMU FORSCHUNG AUSTRIA) Legal form: independent, private, non-profit association Staff: approx. 40 persons Member of networks such as the ENSR, the European Council for Small Business (ECSB), European Evaluation Society (EES), etc.

Aim & Function Social and economic research focussing on SMEs Provision of information and data as a basis for decision making Target groups: SMEs and their advisors and institutions for economic policy and business promotion Geographic scope: Austria and Europe Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Clients International Organisations, e.g. National Organisations, e.g.
European Commission International Labour Office (ILO) European Social Fund (ESF) National Organisations, e.g. Federal Ministries Economic Chambers Public Employment Service (AMS) Austrian National Bank (OeNB) State governments Regional development agencies

Technopolis Group Stockholm Brighton Amsterdam Brussels Paris Vienna
Ankara

Expertise Evaluation Institutional development
Programme Design & Management Developing and Newly Industrialising Countries Technology and Innovation Policy Information Society & ICT Training Services Regional Development & Clusters

The European Network for Social and Economic Research (ENSR)
Network of independent research organisations specialised in enterprise and business-related research Geographical Coverage: all EU, EEA and candidate countries Number of partner institutions: currently 37 nationally operating research institutions Number of cooperating researchers: >600

Fields of Work Research Areas: The ENSR conducts research in almost any area related to the business sector, such as Everything related to SMEs (as a main focus) Entrepreneurship and enterprise development Innovation and technology, Capital and finance Regional aspects, Sectoral studies Evaluation, monitoring, benchmarking Regulatory review and administrative burden

Clients European Commission
DG Enterprise & Industry (e.g., with the project „Observatory of European SMEs“) DG Employment and Social Affairs European Foundation for the Improvement of Living and Working Conditions National Governments

The Background

The “Pro-Patent” Era Increasing importance of IPR during the last two decades: Among other things, the development is due to the… transition to a information society/knowledge-based economy growing trend towards internationalisation Trends related to IPR Changes in the legal frameworks Increasing number of patent applications Certain technology fields and developing sectors are especially affected.  Increasing relevance of IP and IP protection mechanisms for SMEs Trends related to IPR: Changes in the legal frameworks Increasing number of patent applications (e.g., +6% in the U.S since the early 80s) Certain technology fields and developing sectors, such as ICT, Biotech and Nanotechnology, are especially affected Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Intellectual property protection practices
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Intellectual property protection practices Type of practice „Do nothing“ “Informal protection practices“ “Non-registrable legal rights” “Registrable intellectual property rights” Example No conscious strategy to protect IP Develop high-trust relations with customers, suppliers and employees Confidentiality clauses and restrictive covenants in customer, supplier and employment contracts Patents Maintain lead time advantage over competitors Prominent copyright notices Registered design Build specialist know-how into products Licensing Registered trade and service marks Member/user of an organisation which seeks to protect IP Restricted publication Unregistered design / design right ►►► Increasing legal formality Source: Blackburn 2003 Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Use of IPR Systems by SMEs
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Use of IPR Systems by SMEs No data available on patent filings according to company size General findings of most studies: SMEs make little use of the IPR-System! Exceptions: selected high-tech sectors European Patent Office (EPO) estimates: 25% of the patent applications stem from SMEs. Issue of availability of data on the usage of the IPR-System by SMEs One problem: Distinction between a single private inventor and a company (SME) General findings of most studies related to the use of IPR: SMEs make little use of the IPR-System! Exceptions: selected High-Tech Sectors Survey: Between 2002 and 2004, less than 5% of all Viennese in enterprises in the crafts and services applied for patents. (Source: Austrian Institute for SME Research)  Figure most likely still too high European Patent Office (EPO) estimates: 25% of the patent applications stem from SMEs. Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Reasons for the limited use of the existing IPR-System (I)
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Reasons for the limited use of the existing IPR-System (I) Lack of Awareness: Insufficient knowledge about the (possible) impact of Intellectual Property Rights and the patenting on a company’s overall business strategy Charges and Fees: Patent office fees (application and registration fee, publication fees) Costs for legal advice; translation costs Overall costs for obtaining a European patent protection: approx. € ,- (Source: Roland Berger)  In addition: Costs arise before the product/service is on the market and/or the patent owner receives any revenues Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Reasons for the limited use of the existing IPR-System (II)
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Reasons for the limited use of the existing IPR-System (II) (Perceived?) enforceability of patent rights How to handle and avoid patent infringements Lack of financial resources Long lead times Increased applications to national and international patent offices are producing a growing backlog (Perceived?) practice of granting patents The share patents granted to SMEs (in terms of the number of applications) is generally lower, if compared to larger companies Possible Reasons: Better reputation of large companies? OR Better IPR management in large companies? Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Possible benefits of patents
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Possible benefits of patents Traditional function: Insurance against copying “Newer” functions: Reputation building For marketing purposes In negotiations with VC funds (in the absence of reference projects) Strategic uses Scare potential competitors off Misguide competitors Force competitors to design around Create freedom to operate (e.g., by cross-licensing) Facilitation of inter-firm collaboration Direct income generation By licensing New business models within existing industries Entirely new business models (“patent trolls” as indicators herefore) Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

The Case for IPR Management (I)
Learning from large firms: LSEs often employ dedicated IP strategy/policy To create and manage IP portfolio For securing the firms developments For creating freedom to operate For generating additional income To identify potentially harmful IPR (and be able to react early on) To use IPR as a source of technological information  IPR management instead of „simple“ IP (patent) protection

The Case for IPR Management (II)
IPR management makes use of all formal IPR tools AND informal IP protection mechanisms for good reason „Disadvantages“ of patents: Given by barriers (real or not) described before Patents protect only for a limited amount of time Patent provides blueprints for unlawful copiers Usage of patents can be in some instances only waste of money, in others even harmful to the business

Alternative IPR strategies for SMEs
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Alternative IPR strategies for SMEs Alternative IPR might prove often more useful Trademarks, designs, … Usage of informal IP protection strategies may be also feasible: “Do nothing” “Maintenance of lead advantage” “Trade secrets” and/or usage of rules against unfair competition “Defensive Publishing”: Publishing in journals in order to avoid patenting of one’s own invention by competitors Hybrid strategies  Usage of the different IP protection tools depends on market standing of a company (which might lower the significance of the business size issue) “Trade secrets” and/or usage of rules against unfair competition Trade Secrets are recognised as enforceable rights in most nations Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

The Case of IPR management (III)
Grundlagen Kosten Patent utilisation Recommended action Cross-Licensing In-Licensing Cross-Licensing with net income generation Inhibiting Product clearing Appeal/objection Acquire patent Strengthen patent portfolio Optimize patent processes leading same following Patent standing Technology standing Source: Pecham 2006/Siemens Corporation  IPR management should be integrated into innovation management

Usage of different IP protection instruments *)
Source: 3rd Community Innovation Survey (CIS III), Austrian Institute for SME Research (SME-IIP user survey) *) multiple answers allowed Given the number of companies and the number of patent applications, CIS data looks still over-optimistic

IPR as a means to increase competitiveness?

First conclusions The corporate usage of patents should depend on… the overall corporate strategy of the enterprise, the corporate structure and the sector(s) the enterprise operates an efficient management of IPR issues. IPR in innovation management matters!! Policy makers should take a broader approach towards IPR and not be too patent-centric Availability of qualified staff to deal with the challenges may be the key issue Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Policy Areas Study focus IPR framework RTDI Support
Laws governing IPR (Community Patents) Laws governing competition (competition policy) RTDI Support Addressing universities and researchers Addressing businesses and SMEs directly Human Capital Policy Education of the general public Education within universities (business schools, technical universities) Education and vocational training for stakeholders („train the trainers“) Education targeted at SME managers („Training“) (Foreign Policy): New Trend: Programmes concerning IPR protection in China for SMEs  No track record so far….but vehicle to promote IPR with all? Study focus

What´s ahead… Questions for the study (and the rest of the presentation and subsequent discussion): Are the currently offered IPR support services adequate with respect to the needs of SMEs, resp. the challenges described? Is there a mismatch between demand and supply? Are there differences in service provision in Europe and overseas countries? Is the vision of a broader approach to IP usage (instead on the number of patent applications only) workable in the context of IPR support?

The Project

Study “SME-IIP” in a nutshell
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Study “SME-IIP” in a nutshell Aim: The study aimed to identify, analyse, classify and benchmark support services in the area of IPR for SMEs The project was carried out in three phases: Phase 1: Identification and analysis of existing support services Phase 2: Benchmarking of relevant support services; development of a short list for a “Good-Practice” analysis Phase 3: In-depth analysis of selected services with “Good Practice”- elements; examination of survey results; development of case studies Geographical coverage: Mostly EU-27 and some overseas countries (USA, Japan, Australia, Canada) Aim: The study aims to identify, analyse, classify and benchmark support services in the area of intellectual and industrial property (IIP) Main focus is to analyse efficiency and performance of public-funded support services aiming at assisting SMEs on IPR issues Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Study design and methodology
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Study design and methodology 279 services (Europe: 224) 72 services benchmarked 15 services exhibiting “good practice” characteristics Field work (by partner network) Results validation Results dissemination Core Research Team: Analysis Guide-lines Selection process Study IPR Expert Group Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Response rates for user survey
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Response rates for user survey Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Towards good practices: Identification process (Phase 1)

Selection criteria for identifying relevant support services
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Selection criteria for identifying relevant support services Selection criteria Source of funding Inclusion of only publicly funded services SMEs as target group Explicitly Implicitly, if the service has significance for SMEs Service design Service targeted as a whole or in (analysable) parts at IPR Degree of legal formality Focus on registrable IPR (esp. patents) Inclusion of other IPR with less legal formality, if a country does not have a high enough number of services targeting registrable IPR Geographical coverage: national and/or regional  Another (informal) selection criterion in some (few) instances: willingness of the service provider to collaborate and provide information SMEs as target group Explicitly Implicitly, if the service has significance for SMEs (e.g., a high share of SME users) Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Overview of available support services (I)
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Overview of available support services (I) In total, 224 support services for SMEs in the field of IPR in Europe have been identified. database listing: 279 services (incl. overseas) high variation among countries number of services identified overseas: 55 Only 35% of the services were explicitly dedicated services for SMEs. Most services (80%) were offered nationwide, the rest at a regional/local level. Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Overview of available support services (II)
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Overview of available support services (II) Degree of legal formality of IPR covered by identified services, by services *) *) multiple answers allowed Source: Identification process, n=279 Regardless of selection criteria, most public funded services target registrable IPR (esp. patents) Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Overview of available support services (III)
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Overview of available support services (III) Phase of IPR usage targeted, by services *) *) multiple answers allowed Source: Identification process, n=279 Most services address the process of development/registration of IPR Multiple phases covered by many services Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Overview of available support services (IV)
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Overview of available support services (IV) Issue: multiple counting e.g., “consulting services” are often also “information services” Number of categories Issue: Embedded services vs. integrated services Embedded services: Service part of another service or service portfolio which is not targeted at IPR Integrated services: Services part of a portfolio of IPR-related services Review of classification system, taking into account Qualitative service descriptions Comparisons between countries Other classification systems (OECD/WIPO etc.) Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Overview of available support services (V)
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Overview of available support services (V) Evidence-based “functional” classification: (Pro-active) awareness raising services & Public Relations  actively address SMEs and/or promote the usage of the IPR system (Passive) Information provision services  (passively) offer information to interested parties, partly for research purposes Training  Educational measures where SMEs do benefit to a larger proportion Customized in-depth consulting and advisory services/points  broader scope Financial assistance & legal framework  Subsidies for patent filings, tax credits… Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Overview of available support services (VI)
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Overview of available support services (VI) Functional classification, by services *) *) multiple counts allowed Source: Identification process Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Towards good practices: Benchmarking (Phase 2)

Towards Good Practices: Benchmarking Indicators (I)
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Towards Good Practices: Benchmarking Indicators (I) Development and Design: Type and scope of preparatory activities Time of preparation activities ….. Implementation: Budgets and resources used Governance Evidence of an effective administration Existence of quality assurance mechanisms Marketing activities employed … Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Towards Good Practices: Benchmarking Indicators (II)
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Towards Good Practices: Benchmarking Indicators (II) Performance: Existence and values of any performance measures Assessment of added value/additionality Assessment of impacts Strengths and weaknesses …  Strong focus of the respective guidelines Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Towards Good Practices: Selection criteria for the benchmarking phase
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Towards Good Practices: Selection criteria for the benchmarking phase Clearness of the objectives stated Clearness of the service design and service offerings Scope of the service offerings Level of innovation of the instruments employed Take-up by SMEs and/or other available performance measures Country context Policy context Clearness of the objectives stated Clearness of the service design and service offerings Focus on registrable IPR Scope of the service offerings  as implied by budgets, broadness of the instruments employed, etc. Level of innovation of the instruments employed Take-up by SMEs and/or other available performance measures,  Depending on availability of respective performance indicator Country context  Taking into account different stages of economic development (i.e., Eastern European countries) Policy Context  Interaction with other measures, institutions and services. Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Towards Good Practices: Overview of benchmarked services
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Towards Good Practices: Overview of benchmarked services In total, 72 services were subjected to benchmarking. In the end: comprehensive data gathered from 66 services. Overall: “good practices” as a whole were hard to spot! Plenty of opportunities to learn about “elements of good practice” Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Towards Good Practices: Organisations offering IPR support services for SMEs Type of service offering institutions of benchmarked services, by services *) *) multiple counts allowed Source: Benchmarking process, n=66 Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Towards Good Practices: Institutional map
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Towards Good Practices: Institutional map High/increased activity levels from the National Patent Offices: seem to look for new new roles active in (pro-active) awareness raising activities and in (technical) information provision (e.g., patent searches) Most of the time new in the innovation policy landscape Challenges Technology/development agencies cover IPR, but IPR services there are often marginalised National governmental bodies Have their IPR services often implemented by organisations other (“Other” category) than the PTO or technology/development agencies High/increased activity levels from the National Patent Offices: Seem to look for new new roles Mostly active in (pro-active) awareness raising activities and in (technical) information provision (e.g., patent searches) Most of the time new in the innovation policy landscape. Lack of visibility often an issue Lack of cooperation with development agencies, too Challenges: A lot of technical and legal know-how, less business know-how too patent-centric Development agencies: cover IPR, but IPR services there are often marginalised National/Regional governmental bodies Have their IPR services often implemented by organisations other than the PTO or technology/development agencies (category „Other“, e.g. associations) Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Towards Good Practices: Evaluation culture (I)
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Towards Good Practices: Evaluation culture (I) Quality assurance mechanisms in place, by services *) *) multiple counts allowed Source: Benchmarking process, n (benchmarked services) = 66, n (Good Practices) = 15 Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Towards Good Practices: Evaluation culture (II)
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Towards Good Practices: Evaluation culture (II) Only around 5 out of 10 services are subject to formal evaluation exercises 23% stated that they had no form of quality assurance mechanisms in place Issue seemingly more with services from the PTOs Evaluated services perform better than non-evaluated ones Lack of evaluation culture has implications… …in terms of customer (need) orientation …in terms of accountability Only one out of three services is subject to evaluation exercises. Issue especially with services from the PTOs Evaluated services perform better than non-evaluated ones Lack of evaluation culture has implications… …in terms of customer orientation (e.g., existence of contact databases of sufficient scope and quality) …in terms of accountability (unrealistic performance figures etc.) Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Towards Good Practices: Evaluation culture (III)
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Towards Good Practices: Evaluation culture (III) IPR support services are, in terms of investigated implemented innovation policy instruments, to a large extent uncharted territory!  Systems failure! System fallacy= historicly given, but we do not believe that racula shoukd guard the blood bank. Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Key quality factors for the provision of IPR services, user perceptions
Source: Austrian Institute for SME Research Aggregated answers for all services, Services considered = 15 n = 630

Towards Good Practices: Human resources
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Towards Good Practices: Human resources Core success factor: Competence of staff Underlined explicitly in around 60% of the benchmarked services as a success factor. Also underlined in user surveys in the good practice analysis. Reason: IPR matters are usually more complicated and require technical, legal and business/strategic knowledge Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Towards Good Practices: Human resources and educational offerings
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Towards Good Practices: Human resources and educational offerings Serious issue: Availability of qualified staff Calls for senior staff with experience Not every local and regional service can offer sufficient number of experts Issue of reward schemes Literature indicates lack of educational offerings in this respect A good IPR service has to have a minimum scope (otherwise: referral) Issue: Availability of qualified staff Calls for senior staff with experience Not every local and regional service can offer sufficient number of experts Literature indicates lack of educational offerings in this respect (see ) Issue for SMEs, trainers but also general public Possible reason why training services are not that common A good IPR service has to have a minimum scope (otherwise: referral) Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Towards Good Practices: Networking and service portfolios
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Towards Good Practices: Networking and service portfolios The level of integration/networking with other services matters. Services integrated into a portfolio of other services perform better than isolated ones. Synergy effects in terms of competence available and built throughout service operation achieve minimal size of service easier However, no service can cover the whole spectrum of IPR issues! referral activities important Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Towards Good Practices: Visibility
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Towards Good Practices: Visibility Another important success factor: Ease of identification A weakness with many services Many support services are more easily identifiable, because they are the only service of their kind in the country/region (uniqueness as a success factor). Another important success factor: Ease of identification A weakness with many services Because offered often outside usual innovation support programmes/institutions Many support services are more easily identifiable, because they are the only service of their kind in the country/region (uniqueness as a success factor). Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Towards Good Practices: Patent Focus vs. IP protection in general
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Towards Good Practices: Patent Focus vs. IP protection in general Scope of the service offers: Most services are patent-centric (with some provisions for trademarks) Issue: Information on „why“ and „why not“ to patent  Who (from the service advisers) would advise Coca-Cola to go for a trade secret regarding its recipe if it were patentable?  Lack of services covering all different IP protection instruments! Scope of the service offers: Most services are patent-centric (with some provisions for trademarks) Information on „why“ and „why not“ to patent is on the agenda for users, even if it is not the absolute first priority Bias because of reached target group by services Shortage of expertise with regard to the business dimension with many service providers Again: Cooperation and level of integration matters!  Who (from the service advisers) would advise Coca-Cola to go for a trade secret regarding its recipe if it were patentable?  Lack of services covering all different IP instruments! Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Towards Good Practices: National or regional approaches? (I)
Because of the success factors explained before: Preference for a nationwide offered integrated service (package) with regional outlets. Central unit can have the (otherwise scarce) expertise. Regional outlets refer to the central unit High visibility Networking with other institutions required (but there are limits to networking)

Towards Good Practices: National or regional approaches? (II)
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Towards Good Practices: National or regional approaches? (II) Services of smaller scope and/or operated only at a regional level can also make sense… …if they complement nationwide offerings …if they have clear goals and targets and respective service designs in the regional context …if they are also networked enough Issue of critical mass! Services of smaller scope and/or operated only at a regional level can also make sense… …if they complement nationwide offerings …if they have clear (e.g., region-specific) goals and targets and respective service designs …if they are also networked enough Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Towards Good Practices: Private or public service offerings? (I)
Usage frequency of different types of service providers for innovation projects, percentage of (good practice) service users *) *) multiple answers allowed Source: User Survey, n = 630

Towards Good Practices: Private or public service offerings? (II)
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Towards Good Practices: Private or public service offerings? (II) Issue “Crowding out of private service providers” By extending public service offerings (esp. by the PTOs) conflicts may arise with private offerings Has to be looked into further!! Some thinking: Type 1 (awareness) to Type 3 (training): public Type 3 (training) & Type 4: private (Type 3 partly public) Type 5 (subsidy): public Cooperation with private multipliers a (necessary) success factor Important role of patent attorneys! ( often act directly as an entry point for IPR support services, or promote such services) (Time-limited) public support services as igniters for private offerings? Issue “Crowding out of private service providers” By extending public service offerings (esp. by the PTOs) conflicts may arise with private offerings e.g. with patent attorneys, for example with regard to patent search services Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Towards Good Practices: Organisational focus (I)
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Towards Good Practices: Organisational focus (I) Who should offer publicly funded IPR support services for SMEs? Depends on the design of the innovation (support) system and historic context. PTOs Have abundant knowledge on technical and legal matters concerning registrable IPR Are perceived to be “independent” and “reliable” (yet slow) Development agencies Well known/accepted by SMEs in terms of general and innovation support available Better knowledge of business context, wider service portfolios but less IPR know-how Who should offer publicly funded IPR support services for SMEs? Depends very much on the design of the innovation system and historic context. PTOs Have abundant knowledge on technical and legal matters concerning registrable IPR Are perceived to be “independent” and “reliable” (yet slow) Development agencies: Well known by SMEs in terms of general and innovation support available (thus clearer visibility) Better knowledge of business context, wider service portfolios but less IPR know-how Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Towards Good Practices: Organisational focus (II)
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Towards Good Practices: Organisational focus (II) General know-how gap with both organisations in terms of unregistrable IPR and informal protection practices? Two options: Scale down PTOs on core competence of patent filings and searches, enrich development agencies with IPR know-how & link both more together Enrich PTOs further and create “institutes of intellectual property”, but link them with development agencies, anyway In any way: Linkage/permeability seems important! Development/technology agencies should act as entry points, not the PTOs! PTO Case: Accountability verführt zu mehr Patents (Patents are good, because they are countable) Knowledge on procedures is there If there is no pressure: PTOs will not go for general IPR management Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Towards Good Practices: Other success factors and Good Practice elements
Other important success factors (and good practice elements): Timely delivery In the context of IPR (patents) especially of relevance (“who is first gets the patent”) The role of costs IP protection costs are considered to be the major obstacle by SMEs existence of well-designed financial subsidy can help, but in other ways one might initially think of subsidies cannot compensate for a cheaper European patent

Towards good practices: Lessons learned from overseas countries

Overseas Experiences (I)
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Overseas Experiences (I) Overseas experiences with support services for SMEs in the field of IPR: USA Canada Australia Japan Furthermore, interesting developments registered in Korea, Israel, China, … but not covered in the study Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Overseas experiences (II)
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Overseas experiences (II) USA Some services seemingly rely stronger on work done on a “pro bono” basis i.e. Service Corps of Retired Executives (SCORE), a service offering business counseling on a free or low-cost basis to small businesses; among the volunteers are also those specialized in IPR protection Social phenomenon: It is well seen if rich people/retired executives volunteer for a good cause for free Patent filings are less expensive Small entity act lowers filings costs even further Japan: Broad policy initiatives work on multiple levels at the same time Ignite private sector (retail banking, insurances) and more attention to IPR (usage of IPR as collaterals) Broad educational initiatives (e.g., a nation-wide IPR day) Technology License Offices Similar to what licensing offices do in Europe, but seemingly much more successful Success factors: Heavier (financial) incentives to motivate researchers to patent, true business people run it with clear financial goals  Subtle differences in terms of who runs such centres can make the difference! Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Overseas experiences (III)
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Overseas experiences (III) Australia: IPR “embedded” in different (thematic) programmes i.e. “BioStart” programme Programme aims to support Bio start-up companies IP advice is offered between “Proof-of-concept” and business planning i.e. “Market Ready Commercialisation Programme” Series of facilitated workshops providing successful applicants (inventors) with 10 days of free professional assistance Covers information on IP protection and development strategies Japan: Broad policy initiatives work on multiple levels at the same time Ignite private sector (retail banking, insurances) and more attention to IPR (usage of IPR as collaterals) Broad educational initiatives (e.g., a nation-wide IPR day) Technology License Offices Similar to what licensing offices do in Europe, but seemingly much more successful Success factors: Heavier (financial) incentives to motivate researchers to patent, true business people run it with clear financial goals  Subtle differences in terms of who runs such centres can make the difference! Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Overseas experiences (VI)
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Overseas experiences (VI) Australia Regional activities, strong branding i.e. “Smart Start” programme Smart Start workshops are held all over Australia to introduce interested people to basic IP concepts Awareness of the service is considered to be a key strength Covers also trade secrets! Wide range of referral activities, also to venture capitalists Japan: Broad policy initiatives work on multiple levels at the same time Ignite private sector (retail banking, insurances) and more attention to IPR (usage of IPR as collaterals) Broad educational initiatives (e.g., a nation-wide IPR day) Technology License Offices Similar to what licensing offices do in Europe, but seemingly much more successful Success factors: Heavier (financial) incentives to motivate researchers to patent, true business people run it with clear financial goals  Subtle differences in terms of who runs such centres can make the difference! Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Overseas experiences (V)
Canada Source: Canadian Intellectual Property Office

Overseas experiences (VI)
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Overseas experiences (VI) Canada “IP Tool-Kit”: on the internet, provides information that covers the life cycle of the IP from start up to financing, searching and filing. “Bank of Speakers”: pool of trained experts on IP available across Canada volunteer their time to deliver a IP Awareness presentation. Japan: Broad policy initiatives work on multiple levels at the same time Ignite private sector (retail banking, insurances) and more attention to IPR (usage of IPR as collaterals) Broad educational initiatives (e.g., a nation-wide IPR day) Technology License Offices Similar to what licensing offices do in Europe, but seemingly much more successful Success factors: Heavier (financial) incentives to motivate researchers to patent, true business people run it with clear financial goals  Subtle differences in terms of who runs such centres can make the difference! Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Overseas experiences (VII)
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Overseas experiences (VII) Japan Broad policy initiatives work on multiple levels at the same time Goal: To ignite private sector (retail banking, insurances) and have them pay more attention to IPR Broad educational initiatives Technology License Offices Similar to what licensing offices do in European universities, but seemingly more successful Core element of IPR support to SMEs (more than in Europe technology transfer institutions) IPR used as collateral more than in Europe or the US, however usage on a broad level (e.g., by private retail banks) seems to be still in its infancy Japan: Broad policy initiatives work on multiple levels at the same time Ignite private sector (retail banking, insurances) and more attention to IPR (usage of IPR as collaterals) Broad educational initiatives (e.g., a nation-wide IPR day) Technology License Offices Similar to what licensing offices do in Europe, but seemingly much more successful Success factors: Heavier (financial) incentives to motivate researchers to patent, true business people run it with clear financial goals  Subtle differences in terms of who runs such centres can make the difference! Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Lessons learned from overseas experiences
Services offered in other countries than Europe are not significantly different, but … People and institutions matter Broader policy initiatives surrounding IPR create an IPR friendly environment Volunteering seems to be an effective way of providing IPR services (really? also in Europe?) What about other countries? Korea: strong in e-learning China: also interesting services developed  Not part of the study, but should be looked into!

Overview of good practice elements
Expert staff (!!!) Emphasis on the whole of IP protection instruments, not only patents (IPR Management) Integration instead of autonomy with permeable and sound entry points Ease of identification If regional: complementary and very specific tasks Cooperation between relevant stakeholders, networking & referral activities Timely delivery and costs Evaluation culture and governance of services Support by private IPR service providers, no crowding out of private sector

Towards good practices: Good practices elements overview and analysis (Phase 3)

Services displaying good practice elements (I)
INSTI SME Patent Action (GER) Integrated service offering a financial subsidy Nationwide coverage offered by central institution with regional partners Broad impacts with rather little resources Patent information centres (GER) one-stop shop for information/research on patents Integrated approach (workshops, SME working group, etc.) Large number of users IK2 (SWE) IPR within general innovation support; access to IPR supported by specialised staff Extensive networking Integration into a portfolio of general innovation support schemes

Services displaying good practice elements (II)
IOI (Innovation by patent information) (NLD) Programme involving cooperation between development agency and national PTO Issue of patent searches Positive evaluation results IP Prédiagnosis (FRA) One expert assesses, within 2 days, the state of the art of IPR usage in a SME (free of charge) Part of a portfolio of INPI services Regional networking, expert staff, standardised tools What is the key? (UKPTO) Successful awareness raising campaign, Collaboration with external stakeholders and agencies Part of a larger IPR service portfolio of UKPTO (integrated approach) Example of what a national PTO can do

Services displaying good practice elements (III)
KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research Services displaying good practice elements (III) Intellectual Assets Business Service (IA Centre Scotland, UK) Unique service that focuses on Intellectual Asset Management (rather than a specific IPR protection tool such as patents) Events, advise, publications, standardised tools/checklists Integrated service, expert staff, IAM instead of “patent-only” Serv.ip (AT) Patent search services, awareness raising for SMEs and training Spin-out of the Austrian PTO, organised as a company ( another example of how PTOs can evolve) expert staff, timely delivery, take-up with SMEs IP Assistance Scheme (Enterprise Ireland) Financial subsidy for patent applications Integrated approach & uniqueness Serv.ip (AT) Patent search services, awareness raising for SMEs and training Spin-out of the Austrian PTO, organised as a company ( another example of how PTOs can evolve) expert staff, timely delivery, take-up with SMEs (esp. roadshows) Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

Services displaying good practice elements (IV)
VIVACE (Action Plan Promoting Industrial Property Competitiveness of Entrepreneurs) (HUN) Example of what can work in the EE context Extensive collaboration with EPO, contractual agreements with expert staff Broad approach Little historic burdens to cope with SME IPR services of the Henri Tudor centre (LUX) Integrated approach: trainings, awareness raising, publication (LIIPS) Example of what can be done in a small country expert staff trainings course (DIPS) deals with IPR management on a broad level Foundation for Finish Inventors (FIN) One-stop shop for inventors and patenters Offers its service in regional centres, delivered by expert staff Organisational approach (broad, integrated)

Services displaying good practice elements (V)
Promotion of Industrial Property (SEGAPI Galicia) (ESP) Example of what can work in regional context Financial subsidy for patent applications in a region with under-average patent usage Complements some other IPR support measures Selected SME services of the Danish PTO High activity levels of the Danish PTO in this respect Renown and comprehensive website devlopped “IP Score” (IT-based IP assessment tool) Trainings courses Technology Network Service/First Patent application (FRA) Operated using a network of experts, with regional outlets Subsidy for 5-days in-depth consulting regarding IPR management and/or first patent application, carried out by appointed expert

Further current & related projects
Further approved projects Services for SMEs in the Field of Intellectual Property Rights (IPR) in Switzerland - A review on behalf of the Swiss Federal Institute of Intellectual Property (IPI)  On the role of IPR in R&D collaboration between SMEs and large companies (LCOs) Cooperation with University of Bremen  Transatlantic IPR – A review of policies in the US and the EU towards counterfeiting, including an analysis of ecoomic damages caused by such conduct. Partner, for the study side, of a consortium comprising the Austrian technolgy agency „aws“ and a number of international chambers of commerce

Thank you for your attention! You can download the report at Website: Gußhausstraße 8, A-1040 Wien, Tel.: 01/ , Fax: ,

KMU FORSCHUNG AUSTRIA Austrian Institute for SME Research

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