WIPO Asia Pacific Conference on National IP Strategies and Development, October 27 and 28, 2009, Manila, Philippines NATIONAL IP STRATEGY AS A CRITICAL TOOL FOR FACILITATING THE USE OF IP FOR NATIONAL DEVELOPMENT Topic 3 Implementation of IP Strategy OGADA TOM Innovation and Technology Management Services T&P

Contents Introduction IP System Indicators of IP Systems Coordinating Office for Implementation Setting Priorities Project Based Implementation Approach Monitoring and Evaluation Mechanisms Conclusion

Introduction 1. Definition of National IP Strategy is a set of measures formulated and implemented by a government to encourage and facilitate effective creation, development and management of intellectual property. It outlines how to develop infrastructures and capacities to support inventors of IP to protect, develop and exploit their inventions. A comprehensive national document which outlines how all the policy developments and implementation take place in a coordinated manner within a national framework.

Introduction it strengthens a nation's ability to generate economically valuable IP assets. The goal of IP strategy is to provide a plan over time whereby all national stakeholders can work together to create, own, and exploit research results, innovations, new technologies, and works of creativity. 2. Importance and Goal of a National IP Strategy

5 3. Tools for Developing IP Strategies TACB programs and activities Baseline Tool Needs Assessment Tool Contribution Tool Target Tool Introduction

6 1. Ascertain status of IP Systems -Baseline Tool 2. Formulate targets in National IP strategy – Target Tool 3. Identify TACB required to achieve the targets in National IP strategy – Needs Assessment Tool 4. Identify the elements required to assess the Contributions made by Donors, including TACBP Contribution Tool Introduction 4. Tools for Developing IP Strategies

7 5. Components 1. Key components of IP systems IP mechanisms IP Administrations IP Enforcement 2. Complementary components IP Generation IP commercialisation/utilisation IP Systems

IP Generation Support structures and policies to support the generation of and filling of IP assets IP Commercialization Support structures and policies that promotes the commercialization of IP rights IP Mechanism IP laws in a country that stipulate the breath and depth of IP rights. The specifics in IP laws give direction to protect IP, handle disputes and penalize IP offenses. IP Administration Government functions of administering IP rights, such as IP filing and granting and the infrastructure and resources available to support these function. IP Enforcement The practice to enforce IP mechanism such as dispute resolution and prevention of IP violation through civil, administrative and criminal procedure 6. IP System

1. Number of IP applications filed and granted 2. Automation of IP registration processes 3. National IP Policy and Strategy 4. Capacity of National IP Offices to offer IP services to the SMEs 5. Quality and quantity of IP professionals in the National IP Offices 6. IP Awareness and Outreach Programs available to RTOs and general public 7. Number of registered patent attorneys 7. IP Administration Indicators of IP Systems

1. Developing new IP laws 2. Revising existing IP laws 3. Establishing IP Tribunal 4. Developing policies and regulation for exploitation of TRIPs flexibilities 5. Compliance with international treaties and protocols 8. IP Mechanism (laws) Indicators of IP Systems

1. IP enforcement laws 2. IP courts 3. Establishment of IP enforcement Agencies 4. Collective Management Organizations 5. Public education and awareness 6. Consumer education and awareness 7. Trained IP Enforcement (Judiciary, Customs and Police) officials 9. IP Enforcement Indicators of IP Systems

1. IP Awareness 2. IP policies 3. Technology Transfer Offices 4. IP Education and Training 5. Number of IP Attorneys and Drafters 10. IP Generation Indicators of IP Systems

1. Presence of Collective Management Agencies for copyrights 2. Evaluation of the contribution of copyright industries in the economy 3. Financing commercialization of IP 4. IP Licensing 5. Infrastructure for commercialization 6. Standards and certifications marks 7. IP strategy for industries and SMEs 8. IP policy for industries 9. No of protected IP by locals c ommercialized 11. IP Commercialization Indicators of IP Systems

14 IP Strategy Development IP formulation Process 1.Baseline Survey 2.Vision and Mission 3.Strategies and plans 4.Implementation 5.Monitoring and Evaluation

Where you are Where you are Vision Mission IP Strategies 13. Understanding IP Audit IP Strategy Development Ascertain the status of IP systems Identifying Gaps in IP systems that need to be strengthened IP Audit

IP Strategy Development 14. Examples of Identification of Gaps IP Administration 1.Lack of Automation of IP Registration Process IP Generation 1.Low IP Awareness 2.Lack of Institutional IP Policies 3.Lack of TTOs IP Enforcement 1.Lack of IP Enforcement Laws and 2.IP Court IP Commercialization 1.Lack national Collective Management Organizations IP Laws 1.Lack of laws on GI and T K GAPS in IP System

IP Strategy Development 15. Formulate Targets IP Administration 1.Undertake Automation of IP Registration Process IP Generation 1.Enhance IP Awareness 2.Promote Institutional IP Policies and Establishment of TTOs IP Enforcement 1.Develop IP Enforcement Laws IP Commercialization 1.Promote Collective Management Organizations IP Laws 1.Develop GI laws TARGET

IP Strategy Development Discussed on the assumption that 1. IP Audit Undertaken 2. Gaps Identified 3. Strategy formulated and targets identified 16. Implementation of IP Strategy

Coordinating Office for Implementation 17. Need for a coordinating Office In most cases IP issues would be spearheaded by different departments of the government e.g. Automation of the IP registration process may be spearheaded by the national IP office Development of IP enforcement law may be driven by ministries in charge revenue collection, trade, industry and justice Institutional IP policies would implemented by universities and research institutions Promotion of collective management society may be driven by ministry in charge of copyright

18. Empowering the Coordinating Office The Coordinating Office may need to be placed in such a level that makes it possible to interact across ministries In some country it is under the prime ministers office In other, it is under specialized committee of ministers In some cases under the office of the president The office should command power and respect to mobilize resources for the implementation of the IP strategy. Coordinating Office for Implementation

Setting Priorities 19. Definition of priority setting Process used by a planning team to make decisions on which activities of the strategic plan to implement at what time The IP strategy document identifies the elements of the IP systems that need to be strengthen, developed during the plan period. Through priority setting, the implementation team makes decision on which of these elements are strengthen or developed during which period of the plan. If it is a five year plan, then it is the process of deciding which element are addressed during the first year, second year, third year, fourth and fifth year.

Setting Priorities 20. Importance of priority setting Priority setting is key to success Priority setting involves value-based decision The duration of a National IP Strategy is normally 3-5 years. This means decision must be made on which projects to be undertaken in which years of the plan Optimum utilization of scarce resources Synchronize implementation with resource mobilization Ease of monitoring and evaluating process

Setting Priorities 21. Criteria for priority setting Urgency Benefit and impact Cost Time Support

Setting Priorities 22. Criteria for priority setting Urgency Meeting international Obligation eg TRIPs Meeting regional harmonization requirement (eg legal instruments for fighting piracy and counterfeits at regional) Benchmarking with competitors Benefit and impact Benefit to the country (eg promoting FDI, exploiting available resources in a country eg GIs ) Benefit to a larger % of the population (policies for compulsory licensing)

Setting Priortities 1.Formulate stakeholders forum 2.List the IP elements for consideration by the forum. 3.Generate the criteria that will be used to evaluate the IP elements. 4.Discuss, refine and reduce the list of criteria (Max 5) 5.Assign weights to the criteria depending on the relative importance (1 to 5) 6.Draw a priority setting matrix 7.Rate each option (0-5 points) according to the criteria assigning higher points to those with favourable characteristics. 23. Steps of developing priority setting matrix

Setting Priorities Priority Setting Criteria UrgencyBenefitCostTimeSupportTotal Element of IP to be strengthened or developed IPS1 48 IPS2 44 IPS3 72 IPS4 45 IPS5 60 IPS6 30 IPS7 65 IPS8 55 IPS9 70 IPS Priority setting matrix

Project Based Approach 25. Definition The items for implementation in the strategy are treated as projects, e.g. Automation of IP registration process Establishing Technology Transfer Offices in the University Developing institutional IP policies Developing IP enforcement laws Establishing IP outreach program Establishing National Licensing Agency Establishing Collective Management Organization

Project Based Approach 26. Steps Identification of the project implementation team and structure Preparation of work plans Determination of resources Implementation of the plans

27. Work plans for Developing a new IP law Project Based Approach 1.High level decision on developing the new IP laws - Approval 2.Designating a coordinating office - Approval 3.Sensitizing stakeholders - Workshops 4.Appointing a drafting team – Drafting Team 5.Training of the drafting team - 6.Acquire international consultant 7.Identify benchmarking countries 8.Collect data from benchmarking countries 9.Technical visit to relevant organizations 10.Prepare draft laws 11.Comments on draft laws by expert organizations 12.Presentation to stakeholders for comments and suggestion 13.Submit to relevant authority for presentation to parliament 14.Sensitize the parliamentarians

Monitoring and Evaluation 1. Monitoring is a continuous implementation review 2. Establishes if deployment of inputs, processes and realization of the outputs are proceeding as per the plan. 3. It includes regular collection and analysis of information 28. Understanding Monitoring

Monitoring and Evaluation This is a process that attempts to determine, as systematically and objectively as possible, The relevance, effectiveness, efficiency, sustainability and impact of an intervention It answers specific management questions to judge the overall value of an intervention It supplies information on lessons learned to provide future actions, planning and decision making 29. Understanding Evaluation

Monitoring and Evaluation To ensure that the correct milestones are being achieved as planned Act as an early warning system in cases where targets are unlikely to be achieved Provide regular information in progress Ensure that continuous sharpening and focusing of strategies Assist in mobilization of appropriate interventionIt supplies information on lessons learned to provide future actions, planning and decision making 30. Objectives of Monitoring and Evaluation

Monitoring and Evaluation It requires presents of a strategic plan Plans drawn annually from the Strategic Plan There is a national PC at the prime ministers office PC negotiated with PC committee and signed Reports submitted quarterly and there are timelines PC evaluated annually Analysis of reports Meetings Visits for verifications Documented proof 30. Example of a national Monitoring and Evaluation Project – Kenyan PC

Conclusion National IP strategy is important and that most countries are currently striving to develop theirs That the process involves undertaking IP Audit, formulating targets, determining needs and implementing WIPO is developing appropriate tools for these activities The implementation phase in the most important and difficult one. More attentions should be given in priority setting, designating a unit to coordinate the implementation, and monitoring and evaluation