Presentation on theme: "Professor Philip Griffith School of Public Affairs USTC Hefei"— Presentation transcript:
1 Professor Philip Griffith School of Public Affairs USTC Hefei Technology TransferProfessor Philip GriffithSchool of Public AffairsUSTCHefei
2 TOPICS IN PRESENTATION General description of “technology transfer”Use of patent documents for knowledge transferEuropean Union concern about China TOTAustralian Government Policy
3 What is “Technology Transfer”? WIPO says technology transfer (TOT) is:“defined as transfer of new technologies from universities and research institutions to parties capable of commercialization”or in the sense of transfer of technologies across international borders, generally from developed to developing countries.Generally TOT consists of knowledge or IP rights that are: licensed in the form of intellectual property, the subject of formal consulting or training agreements, communicated in the work place or research settings diffused by publication or other means.
4 What is “Technology Transfer”? The WIPO website then refers to two manuals on licensingSuccessful Technology Licensing"Exchanging Value - Negotiating Technology Licensing Agreements: A Training Manual”
5 What is “Technology Transfer”? Wikipedia saysTechnology transfer is the process of sharing ofskills, knowledge, technologies, methods of manufacturing, samples of manufacturing and facilitiesamong governments and other institutionsto ensure that scientific and technological developments are accessible to a wider range of userswho can then further develop and exploit the technology intonew products, processes, applications, materials or services.It is closely related to (and may arguably be considered a subset of) knowledge transfer.
6 What is “Technology Transfer”? The reference toskills, knowledge, technologies, methods of manufacturing, samples of manufacturing and facilitiesis probably wide enough to refer to the subject of transferBut there are more locations of transfer.Transfer can bebetween Public Universities or Government Research Institutes and private industrybetween the research and development (R&D) departments and the other departments of a single businessbetween various entities or branches of a business groupin a franchising operation from the franchisor to the franchiseebetween international organisations and national organisationsbetween industrialised economies and developing economiesAnd so on
7 What is “Technology Transfer”? And while the WIPO emphasises licensing as the major vehicle for technology transfer there are other methods of transmissionGovernment local participation requirements in foreign firms setting up in the jurisdictionNote Chinese requirements and EU responseLegitimate reverse engineeringAccess to publicly available knowledge through patent data basesIndustrial espionageStraight out infringement activity
8 Utilization of Patent Information as an Technology Transfer Tool: Databases, Content and Access Conditions
10 Patent SystemPatent system has always been concerned with “technology transfer”A patent specification is a teaching document:Should explain to a person skilled in a field of technology exactlywhat has been invented andhow to put it into practice
11 Volume of Patent Documents There is an enormous number of patent documentsWIPO statistics for 2004850,000 first filings1,600,000 applications to patent offices5,000,000 patents in forceEuropean Patent Officeholds 60,000,000 patent documents
12 TOPICS Range of patent documentation Types of information in patent documentsWay information is presentedHow information may be accessedSome uses of information
13 PATENT DOCUMENTATION Specifications in granted patents Specifications in applications not grantedSpecifications in petty patents, innovation patents, utility modelsProvisional application descriptionsDecided cases in patent litigationAbstracts of inventions used to searchOfficial gazettes, bulletins of patent officesReferences between sourcesOfficial patent indexes
14 Patent Documentation Data bases for computer searching Data bases of national or regional officesSpecialist patent information providersPatent agent firmsIndividual enterprisesGovernment reports, discussion papers, draft legislation,etcCompilations of patent statistics
15 TYPES OF INFORMATIONTechnologicalandBibliographical information
16 TECHNOLOGICAL INFORMATION Description of the state of the art prior to the inventionDetailed description of the invention in a form to instruct a person skilled in the artDrawings or formulaeA claim or claims defining embodiments
17 BIBLIOGRAPHICAL INFORMATION Dates names and addresses of:the inventor,applicant for right,person claiming to be eligible for grant,patent representative, agent or attorneyClassification symbolsIPC symbolsMaybe national patent classificationTitle of inventionAbstract of descriptionRepresentative drawing or formulae
18 ADVANTAGES OF PATENT DOCUMENTS Current and recently granted patents and applications often contain most recent technological information publicly available in field.Often only source of informationDetailed explanations of technologyDetailed information in all fieldsSource of linking referencesStandard form of patentsBibliographical items standardised by INID code
19 ADVANTAGES OF PATENT DOCUMENTS Classifications systems allow key to searching and analysisAbstracts assist sifting for relevanceBibliographical information allows contact with wide range of partiesStandard formats allow creation of consistent data basesPatent family identifiable both by technology and territorially
20 INTERNATIONAL PATENT CLASSIFICATION National patent classifications developedUSPTO 1831, German patent Office 1877, UK 1880Once prior art included foreign patent documents was need for international systemWIPO and Strasbourg Agreement 1971IPC system (8th edition)8 main sections of technology21 subsections129 classes639 subclasses7,314 main groups61,397 groups (and rising)All identified by key symbols
21 INPADOC International Patent Documentation Centre- 1972 Established by WIPO and Austrian GovtNow administered by EPOContainsTitle, IPC classification symbols, any national classification symbol, relevant dates,eg filing, amendment, search, registration, names of inventor. Applicant, patentee, addresses. Contact information etc.Machine readable, computer storage, fully searchableInformation collected from national and regional patent officesParticularly useful in capacity to generate “patent families”
22 INPADOC forms of access Patent Classification Service (PCS)Numerical database (NDB)Patent Family and Numerical List (PFS/INL)Patent Application Service (PAS)Patent Applicant Priorities (PAP)Patent Inventor Service (PIS)Patent Register Service (PRS)Patent Gazette (IPG)WatchCAPRI projectWIPO services for developing countriesUser guides in particular fields
23 OTHER CLASSIFICATIONS ECLA- European Classification134,000 sub divisionsEPO claims more precise, homogeneous and systematic than IPCConcordance with IPCUSPC- United States Patent Classification400 classes, with class numbermany subclasses all with detailed identifying symbolsTable of concordance with IPC
24 OTHER SOURCES OF INFORMATION Derwents World Patent Index (WPI)Chemical Abstracts Service (CAS)Private sourceseg Siemens,Hitachi, etcPatent Office data bases (free)International Organisations (eg WIPO Patentscope) (free)Commercial companies (fees)Note there are database providers and patent information and analysis service providers
25 The uses of information. Testing novelty or inventive stepInformation about the state of technology and methodPlanning informationManagement information
26 The users of information. Patent officesGovernments and government departments and agenciesResearchers and teachers in higher educationResearch and development institutionsIndustrial enterprises
27 Use as technical information. Determine most recent products and methodsAccumulate and understand technological advanceLocate related technologyIdentify technology trendsAdapt research prioritiesR&D plans strategically targetedAllows “design around” or complementary development strategiesReduce incidence of “reinventing the wheel”Suggest solutions to analogous problems in other fieldsIndicator of feasibility
28 Use as management tool - Government Monitor foreign patent applications in own countryto level of foreign ownership and control in economyIndicate trend of technology in foreign countryCan assist identifying import levelsMonitor domestic applications to identifyLevel of domestic innovationlevels of R&D successInformation to assess trends in economyIdentification of activity in differing sectorsPlanning toolMonitoring and analysing patents in a foreign country may reveal much about that countries economic and industrial development and assist trade policies
29 Use as management tool - Enterprises Source of technological information for R&DCompile and maintain IP inventoryKey performance targets and measures forOverall enterprise activityParticular divisions or departmentsResearch teams or individual researchersSearching by inventor allows to monitor who is generator of new technologyScreen and monitor competitorsUse information to oppose competitors acquiring rights, seek revocation, defend infringement actionsIdentify potential collaborators for cross licensing, patent pooling
30 Use as management tool - Enterprises Use information to decide if should buy out competitor, merge or sell out to competitorIdentify possible ways to designs around others rightsIdentify possible improvement patents on others patentsAnd so on
32 Europe and China Technology Transfer Warns that EU companies subject to Chinese requirements that threaten unwanted Technology TransferCompulsory joint ventures for markey accessPublic Contracts and procurementDesign InstitutesCertification for Access
33 Compulsory joint ventures in exchange for market access Access to the Chinese market in some designated sectors, sectors, such as car manufacturing manufacture of railway locomotives and rolling stock, foreign companies must enter into joint ventures with Chinese companies. Approval to form a joint venture or to operate may depend on the supply of specific technology, including future improvements of this technology. In some cases, the partner cannot be freely chosen and may be a competitor or concurrent Joint Venture partner of another competitor.In other cases, enlargement of a pre-existing investment may require the set up of local R&D Centre or other forms of transfer of Knowhow.
34 Public contracts/procurement To take part in public tenders,foreign companies must ensure that part of their production is local up to 80%in some cases Production by foreign subsidiaries in China is often not considered as localInstead, foreign firms have to work with a Chinese general contractor, to which their technology has to be transferred in full. Specific rules about bidding requirements of technology transfer, to give the contract to whichever company promises the greatest transfer of know how
35 Design institutesFor many projects, in particular the manufacture of machinery and equipment, China requires mandatory wide ranging review of industrial drawings and designs by Chinese design institutes . The drawings and know‐how may later be used by other Chinese projects to duplicate and use the design in other locations of China. In addition to transferring , Foreign companies often have provide detailed technical documentation and to train Chinese staff so that, in future, they can design the machinery or equipment independently
36 Certification and licenses for market access Many products have to be certified by a Chinese certification institution or are subject to a license by a Chinese ministry before they are allowed on the Chinese market. Some certification procedures require inspections of production plants in right holders' home countries. In some cases, the Chinese inspectors may come from competitor companies and they may ask technical questions which are not strictly necessary for certification.
37 Business adviceThe European SME IPR HELPDESK provides detailed advice and strategies for businesses seeking to work in China or with Chinese partners how to minimize the risks of unwanted technology transfer and deal with the four major risks.
39 Australian Government Innovation Strategy POWERING IDEASAn Innovation Agenda for the 21st Centuryreleased on 21 May 2009• Strategy from 2009 to 2020a 10 year reform agendaFrom the office of Senator Kim CarrMinister for Innovation, Industry, Science and Research
40 Australian Innovation Performance Declined between 1997 and 2007(Howard Years … political motivation for assertion?)From 5th to 18th on World Economic Forum Global Competitiveness Indexmultifactor productivity grew on average1.4% annually betweenBut between only 0.9%Commonwealth spending on science & innovation fell 22% as share of GDP to 0.58 % GDP in 2007Business spending on R&D collapsed in 1990’s and despite recovery still lags competitorsFirms introducing innovation static at 1 in 3
41 Competitors China’s R & D spending grown 22% annually since 1996 Australia’s R & D spending grown by 8% annuallyIsrael spends 4 % of GDP on R & DFinland, Japan, South Korea, Sweden spend 3% GDPAustria, Denmark, Germany, Iceland, Switzerland, Taiwan, USA spend 2.5% GDPAustralia spends 2% GDPRussia and South Africa doubled R & D spending in 10 yearsShare of R & D in non OECD countries increased from 11.7 to 18.4%New entrants making rapid improvements, older players investing to maintain position
42 Australian National Innovation Priorities Public research funding to support high quality research into areas of challenge.Develop strong base of skilled researchers.Fostering industries of the future to secure commercialisation.More effective dissemination of new technologies.Encouraging a culture of collaboration within research community and between researchers and industry.International collaboration.Public and community participation.
43 Universities and public research organisations like CSIRO crucial Research capacityInternational experience - 75% private sector patents draw on public sector research.Universities and public research organisations like CSIRO crucialCNeed to renew public funded research workforce, research infrastructure and method of sharing results
44 Government action on public research capacity Progressively increase number of research groups at world class levelUse “mission-based funding compacts” to promote collaborationUniversities encouraged by funding models to form research “hub and spokes”Universities encouraged by funding models to pursue “industry driven” researchAddress gap in funding indirect research costs - new funding programIncrease capacity to participate in domestic and international collaborationsIncrease capacity to participate in multidisciplinary researchInvest in research infrastructure - various funding mechanisms listed in Strategic Roadmap for Australian Research Infrastructure:- $580 m for university research and infrastructure,- $901 m for projects identified in roadmap and Super Science Initiative- Education Investment Fund
45 Government action on public research skills Workforce strategy to address expected shortfalls in supply of researchersDouble number of Australian Post Graduate Awards (APAs)Increase dollar amount of APA (10% increase )Increase students in higher education generally and mathematics and science particularly to enlarge pool of potential Higher Degree by Research studentsCreate viable career paths for researchersEarly Career Researcher grantsMid Career Research grants (Future Fellowships)Senior researcher grants (Australian Laureate Fellowships)
46 Business InnovationBusiness drawn to innovation by competitive advantage and profit motive.Australia had few large business with fund capacity - so challenge is medium and small business innovation funding.
47 Government role Business Innovation Aim to increase proportion of businesses engaging in innovation by 25% over 10 years.Enterprise ConnectClean Business AustraliaClean Energy InitiativeIncrease businesses investing in R & DR & D tax credit systemSupport innovative responses to climate changeGreen Car Innovation FundGlobal Carbon capture and Storage InstituteClimate Change Action Fund
48 Government role Business Innovation Improve innovation skills in workplaceEnterprise ConnectEducation Revolution strategySupport firms get ideas to marketClimate ReadyGreen Car Innovation FundCommonwealth Commercialisation InstituteWork with Private sector to increase supply of venture capitalGovernment initiatives to respond too credit crisis “the stimulus”Innovation Investment Follow-on FundMaintain dialogue with Industry about innovationIndustry Innovation CouncilsPharmaceutical working group model
49 Public Sector Innovation Government must lead by exampleTake advice from Australian Public Service Management Advisory CommitteeAustralian National Audit OfficeUse public procurement to drive research, innovation technology developmentCommonwealth Government Procurement Guidelines 2008Coordinate approach to information managementAustralian Government Information OfficeConsider options for reform of Patent system and support intellectual property education for researchers and businessImprove management and regulation of biotechnology and nanotechnologyA new national Enabling Technologies Strategy
50 Collaboration• Australia ranks last in OECD on the level of collaboration between public researchers and private industry. To improve Government will:• Seek to double level of collaboration between Universities, public sector research institutions and business :Mission based funding compactsEnterprise ConnectResearchers in Business ProgramIndustry Innovation CouncilsJoint Research Engagement SchemeRoyal Institution of Australia• Increase international collaborationAustralian Research Council grants open to international applicantsSpecific multilateral projects eg Square Kilometre Array radio telescope project
51 Collaboration Renew Cooperative Research Centres (CRC) Collaborating to a Purpose -new guidelines 2008 introduce“public good” as a funding criterionencourage research in humanities, arts , social sciences,Increase focus on needs of end usersImprove Enterprise Connect services to individual firmsSeek to develop regional clusters and networks linking researchers, educational institutions and businessPromote proven models for linking public funded and not for profit researchers with industryEg CSIRO’s national Research FlagshipCSIRO ICT Centre