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Technology Transfer

Professor Philip Griffith


School of Public Affairs
USTC
Hefei
TOPICS IN PRESENTATION
General description of technology transfer
Use of patent documents for knowledge
transfer
European Union concern about China TOT
Australian Government Policy
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.
What is Technology Transfer?
The WIPO website then refers to two manuals on
licensing

Successful Technology Licensing
http://www.wipo.int/export/sites/www/ip-
development/en/strategies/pdf/publication_903.
pdf

"Exchanging Value - Negotiating
Technology Licensing Agreements: A
Training Manual
http://www.wipo.int/ebookshop
What is Technology Transfer?
Wikipedia says
Technology transfer is the process of sharing of
skills, knowledge, technologies, methods of
manufacturing, samples of manufacturing and facilities
among governments and other institutions
to ensure that scientific and technological developments are
accessible to a wider range of users
who can then further develop and exploit the technology
into
new products, processes, applications, materials or
services.
It is closely related to (and may arguably be considered a
subset of) knowledge transfer.

What is Technology Transfer?
The reference to
skills, knowledge, technologies, methods of manufacturing,
samples of manufacturing and facilities
is probably wide enough to refer to the subject of transfer

But there are more locations of transfer.Transfer can be
between Public Universities or Government Research Institutes and private
industry
between the research and development (R&D) departments and the other
departments of a single business
between various entities or branches of a business group
in a franchising operation from the franchisor to the franchisee
between international organisations and national organisations
between industrialised economies and developing economies

And so on


What is Technology Transfer?
And while the WIPO emphasises licensing as the
major vehicle for technology transfer there are
other methods of transmission

Government local participation requirements in foreign
firms setting up in the jurisdiction
Note Chinese requirements and EU response
Legitimate reverse engineering
Access to publicly available knowledge through patent
data bases
Industrial espionage
Straight out infringement activity

Utilization of Patent Information as an
Technology Transfer Tool:
Databases, Content and Access Conditions
Patent System
Patent 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 exactly
what has been invented and
how to put it into practice
Volume of Patent Documents
There is an enormous number of patent documents

WIPO statistics for 2004
850,000 first filings
1,600,000 applications to patent offices
5,000,000 patents in force

European Patent Office
holds 60,000,000 patent documents
TOPICS


Range of patent documentation
Types of information in patent documents
Way information is presented
How information may be accessed
Some uses of information
PATENT DOCUMENTATION
Specifications in granted patents
Specifications in applications not granted
Specifications in petty patents, innovation patents,
utility models
Provisional application descriptions
Decided cases in patent litigation
Abstracts of inventions used to search
Official gazettes, bulletins of patent offices
References between sources
Official patent indexes
Patent Documentation
Data bases for computer searching
Data bases of national or regional offices
Specialist patent information providers
Patent agent firms
Individual enterprises

Government reports, discussion papers, draft legislation,etc

Compilations of patent statistics


TYPES OF INFORMATION
Technological

and

Bibliographical information
TECHNOLOGICAL INFORMATION
Description of the state of the art prior to the
invention
Detailed description of the invention in a form
to instruct a person skilled in the art
Drawings or formulae
A claim or claims defining embodiments
BIBLIOGRAPHICAL INFORMATION
Dates names and addresses of:
the inventor,
applicant for right,
person claiming to be eligible for grant,
patent representative, agent or attorney
Classification symbols
IPC symbols
Maybe national patent classification
Title of invention
Abstract of description
Representative drawing or formulae

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 information
Detailed explanations of technology
Detailed information in all fields
Source of linking references
Standard form of patents
Bibliographical items standardised by INID code
ADVANTAGES OF PATENT DOCUMENTS
Classifications systems allow key to searching
and analysis
Abstracts assist sifting for relevance
Bibliographical information allows contact with
wide range of parties
Standard formats allow creation of consistent
data bases
Patent family identifiable both by technology
and territorially
INTERNATIONAL PATENT CLASSIFICATION
National patent classifications developed
USPTO 1831, German patent Office 1877, UK 1880
Once prior art included foreign patent documents was
need for international system
WIPO and Strasbourg Agreement 1971
IPC system (8th edition)
8 main sections of technology
21 subsections
129 classes
639 subclasses
7,314 main groups
61,397 groups (and rising)
All identified by key symbols

INPADOC
International Patent Documentation Centre- 1972
Established by WIPO and Austrian Govt
Now administered by EPO
Contains
Title, 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 searchable
Information collected from national and regional patent
offices
Particularly useful in capacity to generate patent families
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)
Watch

CAPRI project
WIPO services for developing countries
User guides in particular fields
OTHER CLASSIFICATIONS

ECLA- European Classification
134,000 sub divisions
EPO claims more precise, homogeneous and systematic
than IPC
Concordance with IPC

USPC- United States Patent Classification
400 classes, with class number
many subclasses all with detailed identifying symbols
Table of concordance with IPC
OTHER SOURCES OF INFORMATION

Derwents World Patent Index (WPI)
Chemical Abstracts Service (CAS)
Private sources
eg Siemens,
Hitachi, etc

Patent 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


The uses of information.
Testing novelty or inventive step
Information about the state of technology and
method
Planning information
Management information
The users of information.
Patent offices
Governments and government departments and
agencies
Researchers and teachers in higher education
Research and development institutions
Industrial enterprises
Use as technical information.
Determine most recent products and methods
Accumulate and understand technological advance
Locate related technology
Identify technology trends
Adapt research priorities
R&D plans strategically targeted
Allows design around or complementary development
strategies
Reduce incidence of reinventing the wheel
Suggest solutions to analogous problems in other fields
Indicator of feasibility
Use as management tool - Government
Monitor foreign patent applications in own country
to level of foreign ownership and control in economy
Indicate trend of technology in foreign country
Can assist identifying import levels
Monitor domestic applications to identify
Level of domestic innovation
levels of R&D success
Information to assess trends in economy
Identification of activity in differing sectors
Planning tool
Monitoring and analysing patents in a foreign country may reveal
much about that countries economic and industrial development
and assist trade policies


Use as management tool - Enterprises
Source of technological information for R&D
Compile and maintain IP inventory
Key performance targets and measures for
Overall enterprise activity
Particular divisions or departments
Research teams or individual researchers
Searching by inventor allows to monitor who is generator of new
technology
Screen and monitor competitors
Use information to oppose competitors acquiring rights, seek
revocation, defend infringement actions
Identify potential collaborators for cross licensing, patent pooling
Use as management tool - Enterprises
Use information to decide if should buy out competitor,
merge or sell out to competitor
Identify possible ways to designs around others rights
Identify possible improvement patents on others patents


And so on
European Union SME
HELPDESK
Europe and
China Technology Transfer
Warns that EU companies subject to Chinese
requirements that threaten unwanted Technology
Transfer
Compulsory joint ventures for markey access
Public Contracts and procurement
Design Institutes
Certification for Access

http://www.china-iprhelpdesk.eu/media/docs/Tech_transfer_English.pdf
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, includi
ng 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.
Public contracts/procurement
To take part in public tenders,foreign companies must en
sure that part of their production is local
up to 80%in some cases
Production by foreign subsidiaries in China is often
not considered as local
Instead, 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

Design institutes
For many projects, in particular the manufacture of
machinery and equipment, China requires mandatory
wide
ranging review of industrial drawings and designs b
y Chinese design institutes .
The drawings and knowhow may later be used by
other Chinese projects to duplicate and use the desi
gn in other locations of China. In addition to transf
erring ,
Foreign companies often have provide
detailed technical documentation and
to train Chinese staff so that, in future, they can de
sign the machinery or equipment independently
Certification and licenses for market access
Many products have to be certified by a Chinese cer
tification institution or are subject to a license by a
Chinese ministry before they are allowed on the Chi
nese market.

Some certification procedures require inspections of p
roduction plants in right holders' home countries.

In some cases, the Chinese inspectors may come fro
m competitor companies and they may ask technical

questions which are not strictly necessary for certific
ation.

Business advice
The 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.
AUSTRALIAN POLICY
Australian Government Innovation Strategy
POWERING IDEAS
An Innovation Agenda for the 21st Century
released on 21 May 2009
Strategy from 2009 to 2020
- a 10 year reform agenda
- From the office of Senator Kim Carr
- Minister for Innovation, Industry, Science and
Research
Australian Innovation Performance
Declined between 1997 and 2007
(Howard Years political motivation for assertion?)
From 5th to 18th on World Economic Forum Global
Competitiveness Index
multifactor productivity grew on average1.4% annually
between 1982 - 1996
But between 1997 - 2007 only 0.9%
Commonwealth spending on science & innovation fell
22% as share of GDP to 0.58 % GDP in 2007
Business spending on R&D collapsed in 1990s and
despite recovery still lags competitors
Firms introducing innovation static at 1 in 3
Competitors
Chinas R & D spending grown 22% annually since 1996
Australias R & D spending grown by 8% annually

Israel spends 4 % of GDP on R & D
Finland, Japan, South Korea, Sweden spend 3% GDP
Austria, Denmark, Germany, Iceland, Switzerland, Taiwan, USA
spend 2.5% GDP
Australia spends 2% GDP

Russia and South Africa doubled R & D spending in 10 years
Share 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

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.
Research capacity
International experience - 75% private
sector patents draw on public sector
research.
Universities and public research
organisations like CSIRO crucial
C
Need to renew public funded research
workforce, research infrastructure and
method of sharing results
Government action on public research
capacity
Progressively increase number of research groups at world class level
Use mission-based funding compacts to promote collaboration
Universities encouraged by funding models to form research hub and spokes
Universities encouraged by funding models to pursue industry driven
research
Address gap in funding indirect research costs - new funding program
Increase capacity to participate in domestic and international collaborations
Increase capacity to participate in multidisciplinary research
Invest 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 2009 - 10


Government action on public research skills
Workforce strategy to address expected shortfalls in supply of
researchers

Double number of Australian Post Graduate Awards (APAs)

Increase dollar amount of APA (10% increase 2009 - 10)

Increase students in higher education generally and mathematics and
science particularly to enlarge pool of potential Higher Degree by
Research students

Create viable career paths for researchers
Early Career Researcher grants
- Mid Career Research grants (Future Fellowships)
Senior researcher grants (Australian Laureate Fellowships)


Business Innovation
Business 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.


Government role Business Innovation
Aim to increase proportion of businesses engaging in
innovation by 25% over 10 years.
Enterprise Connect
Clean Business Australia
Clean Energy Initiative
Increase businesses investing in R & D
R & D tax credit system
Support innovative responses to climate change
Clean Business Australia
Green Car Innovation Fund
Clean Energy Initiative
Global Carbon capture and Storage Institute
Climate Change Action Fund

Government role Business Innovation
Improve innovation skills in workplace
Enterprise Connect
Education Revolution strategy
Support firms get ideas to market
Climate Ready
Green Car Innovation Fund
Commonwealth Commercialisation Institute
Work with Private sector to increase supply of venture
capital
Government initiatives to respond too credit crisis the stimulus
Innovation Investment Follow-on Fund
Maintain dialogue with Industry about innovation
Enterprise Connect
Industry Innovation Councils
Pharmaceutical working group model


Public Sector Innovation
Government must lead by example
Take advice from Australian Public Service Management Advisory
Committee
Australian National Audit Office
Use public procurement to drive research, innovation technology
development
Commonwealth Government Procurement Guidelines 2008
Coordinate approach to information management
Australian Government Information Office
Consider options for reform of Patent system and support intellectual
property education for researchers and business
Improve management and regulation of biotechnology and
nanotechnology
A new national Enabling Technologies Strategy

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 compacts
Enterprise Connect
Researchers in Business Program
Industry Innovation Councils
Joint Research Engagement Scheme
Royal Institution of Australia
Increase international collaboration
Australian Research Council grants open to international
applicants
Specific multilateral projects eg Square Kilometre Array radio
telescope project


Collaboration
Renew Cooperative Research Centres (CRC)
Collaborating to a Purpose -
new guidelines 2008 introduce
public good as a funding criterion
encourage research in humanities, arts , social sciences,
Increase focus on needs of end users

Improve Enterprise Connect services to individual firms
Seek to develop regional clusters and networks linking researchers,
educational institutions and business

Promote proven models for linking public funded and not
for profit researchers with industry
Eg CSIROs national Research Flagship
CSIRO ICT Centre