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IPR and Public-Private Technology

Transfer

Professor Prabuddha Ganguli [PhD]

CEO

VISION-IPR

103 B SENATE, Lokhandwala Township,

Akurli Road, Kandivli East, Mumbai 400101, India

Tel: 91-22-8873766

e-mail: ramugang@vsnl.com

Presentation made at the WIPO-CSIR Workshop on

Licensing and Technology Transfer; New Delhi; India, July 4-8, 2005

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Technological Innovation .Societal Progress

Creative exploitation of knowledge in

Selection of seeds leading to the Green Revolution and

enhancing agricultural productivity

Development of nutritive food supplements, vaccines,

medicines, methods of treatment to improving community

health

Inventing novel devices for diverse applications, including,

facilitating learning processes and providing systems for

communication

Deciphering secrets of life creating processes, integrating

with communication technologies to give biotechnologypganguli2005

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Knowlitics .....A new international

phenomena

Emerging Socio-PoliticalDimensions of the Knowledge

Trade

IPR plays a decisive role

Transacting OwnedKnowledge

Knowletics TM applied for in India by P. Ganguli pganguli2003

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Strategic Linking of Knowledge

Incubators with Business

Enterprises

Integrate IPR in the knowledge

generation and transfer process

Where does one start????

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TODAYYESTERYEARS

RESEARCH MODELS

TOMORROW.

ISSUESRESEARCH PROCESSAPPROACHES

SOCIETAL IMPACTKNOWLEDGE OWNERSHIPBENEFITS SHARING

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YESTERYEARS

RESEARCH MODELS

Typically Conceptual

State Funded InstitutionsOpen-Ended Knowledge GenerationEnrichment of Public Domain

knowledgeCredits: Enhanced Peer Recognition

Typically ApplicationsPrivate Funded Institutions

Targeted End PointsOptimized use of Public Domain

KnowledgeValue Addition as measure of

competitive edge

Profits,Market dominanceProprietary Issues

UPSTREAM RESEARCHDOWNSTREAM RESEARCH

TODAYTOMORROW.

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TOMORROWYESTERYEARS

RESEARCH MODELS

TODAY

Partial Funding By Private Enterprises

in Upstream Research

Issues on knowledge FlowBenefits SharingPublications Research Schemes, Peer

Group Recognition etc.Free use by Funding Agency??

Diffused Ownership!!

MIDSTREAM

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TODAYYESTERYEARS

RESEARCH MODELS

TOMORROW.

Blurring of boundaries between

Upstream & Downstream ResearchOverlap between disciplines

Quantification of OwnershipFormalized benefit Sharing by PartnersOverlapping Claims by different

ownersChallenges to Ownership Criteria

Anti competition or MonopolisticIssues

IRP Multi-tier innovation processOptimized use of global knowledge baseIntra-Enterprise resources

Extra-Enterprise inputsGlobal/National licensing issuesIntricate exclusive/non-exclusive benefits

SharingOrganizational frameworks for rapid

diffusion of innovation to business

TURBULENCE RAPIDS

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Sociology of Technology

Organization of technology

Best Practices and Value Chain of the

Business is difficult to transfer Cooperative governance in the innovation

process

Small Suppliers to Big Companies veryeffective systems.

National Technology Mission

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ExpertiseCentres

SME

SME

Large Enterprises

Enterprise Networking

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Demand for Patents World wide

9 5 8 6 0 4

7 1 1 4 1 2

5 8 9 9 0 8

4 4 6 1 3 6

3 4 3 4 6 2

2 3 0 6 8 4

1 9 6 5 4 81 5 9 5 9 5

1 7 8 5 7 6

2 7 7 4 5 8

5 9 3 8 8

7 2 1 6 56 2 4 4 9

6 4 0 2 0

8 2 6 5 7

7 5 1 0 47 0 2 2 8

6 8 3 8 7

6 8 5 3 8

6 2 9 6 1

0

1 0 0 0 0 0 0

2 0 0 0 0 0 0

3 0 0 0 0 0 0

4 0 0 0 0 0 0

5 0 0 0 0 0 0

6 0 0 0 0 0 0

7 0 0 0 0 0 0

8 0 0 0 0 0 0

9 0 0 0 0 0 0

1 0 0 0 0 0 0 0

1 9 9 1 1 9 9 2 1 9 9 3 1 9 9 4 1 9 9 5 1 9 9 6 1 9 9 7 1 9 9 8 1 9 9 9 2 0 0 0

First Filings

Total Filings

Ref: Intellectual Property Rights.. Unleashing the Knowledge EconomyP. Ganguli ( Tata McGraw Hill, New Delhi 2001)

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Annual Patent Globalization Index (PGI)

0

2

4

6

8

10

12

GlobalizationInde

PGI 1.69 1.86 2.66 3.34 4.01 5.5 8.85 10.59

1991 1992 1994 1995 1996 1997 1999 2000

PGI = (Total Number of Patents Filed Worldwide) - (Number of First Filings Worldwide)

(Number of First Filings Worldwide)

Ref: Intellectual Property Rights.. Unleashing the Knowledge Economy

P. Ganguli ( Tata McGraw Hill, New Delhi 2001)

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A decade of changes

Enabling national policies and incentiveschemes to encourage R&D, technologydevelopment and transfer

Growth of financial institutions

Moving into the new IPR Paradigm Maturing of the IPR infrastructure

Several national agencies including industryassociations providing IPR awareness andfacilitation programmes

International agencies getting involved indevelopmental activities at grass roots.. e,.g.UNIDO Projects, NGOs, WIPO and others.

pganguli2005

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Developments in India

Moving into strong IPR Regime in a

phased manner during the last 35 years

while growing its infrastructure

and economy.

IPR is now a necessity to give its

economy the required competitive edge

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Indian National S&T Policy 2003 salient features

Vigorously foster scientific research in universitiesand other academic, scientific and engineeringinstitutions; and attract the brightest youngpersons to careers in science and technology, byconveying a sense of excitement concerning theadvancing frontiers, and by creating suitableemployment opportunities for them.

Also to build and maintain centres of excellence,

which will raise the level of work in selected areasto the highest international standards

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Indian National S&T Policy 2003 salient features

Provide necessary autonomy and freedom of

functioning for all academic and R&Dinstitutions so that an ambience for truly

creative work is encouraged, while ensuring

at the same time that the science and

technology enterprise in the country is fullycommitted to its social responsibilities and

commitments

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Indian National S&T Policy 2003

.. Salient features To substantially strengthen enabling mechanisms thatrelate to technology development, evaluation,

absorption and upgradation from concept to utilization.

To establish an Intellectual Property Rights (IPR) regime

which maximises the incentives for the generationand protection of intellectual property by all types of inventors.

Provide a strong, supportive and comprehensive

policy environment for speedy and effective domestic

commercialisation of such inventions

All efforts are made to have high-speed access to information,

both in quality and quantity, at affordable costs;

and also createdigitized, valid and usable content of Indian origin. pganguli2005

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Indian National S&T Policy 2003

Salient Features Support innovation in all its aspects through a comprehensive

national system of innovation covering science and technology asalso legal, financial and other related aspects

Set in mechanisms to achieve synergy between industry andscientific research by creation of Autonomous Technology Transfer

Organizationsas associate organizations of universities and national laboratoriesto facilitate transfer of the know-how generated to industry

Encourage scientists and technologists to transfer the know-howgenerated by them to the industry and be a partner in receiving the

financial returns

Encourage Industry to financially adopt or support educational andresearch institutions, fund courses of interest to them, createprofessional chairs etc. to help direct S&T endeavours towardstangible industrial goals

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India Post TRIPS. An Audit 1st (1999) and 2nd Patents Amendment Act (2002) with

Patent Rules 2003; 3rd amendment bill introduced in

December 2003 has lapsed; Patent Ordinance 2004 onDecember 26th 2004. The Bill for the 3rd Amendmentwas passed in Lok Sabha on 22/3/05 and in RajyaSabha on 23/3/05

The Trademarks Act 1999 and TM Rules 2002 (rulesnotified on September 15, 2003)

Copyright Act 1957 with Copyright rules 1958 followedby International Copyright Order 1999.

Designs Registration Act 2000 with Design rules 2001

Geographical Indications Act 1999 with GI rules 2002

Protection of Layouts for Integrated Circuits Act 2000

The Protection of Plant Varieties and Farmers RightsAct 2001

Bio-diversity Act 2002 pganguli2005

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India Post TRIPS. An Audit

Designs Registration Act 2000 withDesign rules 2001

Geographical Indications Act 1999 withGI rules 2002

Protection of Layouts for IntegratedCircuits Act 2000

The Protection of Plant Varieties and

Farmers Rights Act 2001 Bio-diversity Act 2002

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Approaches to Industry Academic Technology

Collaboration

Only Memorandum of Understanding

Singed (MOU) with no formal IPClauses / Policies

Essentially no awareness of the issues.

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Instructions for Technology Transfer and

IPR

Ministry of Science and Technology has issued the

guidelines "Instructions for Technology Transfer and

Intellectual Property Rights", which would help in

enhancing the motivation of scientists, research

institutions and universities in projects funded by the

Department of Science and Technology, Department ofBiotechnology, Department of Scientific and Industrial

Research and Department of Ocean Development.

pganguli2005

G id li f T h l

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Guidelines for Technology

Transfer and IPR

Ownership of Intellectual Property:

Institutions shall be encouraged to seek protection ofintellectual property rights in respect of the results of R&D.

They may retain the ownership of such IPR. Institutions

would mean any technical, scientific or academic

establishment where research is carried out through funding

by the central/state government.

pganguli2005

G id li f T h l

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Guidelines for Technology

Transfer and IPR

Transfer of Technology:

The institutions shall take the necessary steps to commercially

exploit patents on exclusive or non-exclusive basis.

Royalty to Inventors: The owner institution is permitted to

retain the benefits and earnings generated out of the IPR. The

institution may determine the share of inventor(s) and other

persons from such actual earnings. However, such share(s)shall be limited to one third of the actual earnings.

pganguli2005

G id li f T h l

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Guidelines for Technology

Transfer and IPR

Norms for Private Industry:

IPR generated through joint research by institution(s) and

industrial concern(s) through joint efforts can be owned jointly

by them as may be mutually agreed to by them through a

written agreement. The institution and industrial concern may

transfer the technology to a third party for commercialisation

on exclusive/non-exclusive basis. The third party, exclusively

licensed to market the innovation in India, must manufacture

the product in India. The joint owners may share the benefitsand earnings arising out of commercial exploitation of the IPR.

The institution may determine the share of the inventor(s) and

other persons from such actual earnings. Such share(s) shall

not exceed 1/3rd of the actual earnings.

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Guidelines for Technology

Transfer and IPRPatent Facilitating Fund:

The owner institution(s) shall set apart no less than 25% of therevenue generated from IPR, to create a Patent Facilitating

Fund. The Fund shall be utilized by the owner for updating

inventions, filing new patent applications and protecting the IP

rights against infringement and for building competency in thearea of IPR and related issues.

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Guidelines for Technology

Transfer and IPRInformation :

The institutions shall submit information relating to the details

of the patent obtained, the benefits and earnings arising out of

IPR and the turnover of the products periodically to thedepartment/Ministry which had provided funds.

March In Rights:

The Government shall have a royalty-free license for the use of

intellectual property for the purposes of the Government of

India.

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Several Government Sponsored

Schemes

A few Examples

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P ti f t h l t f

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Promotion of technology transfer

national schemes

Stress on academic-industry-government teamwork fortargeted deliver of business oriented results throughinnovative funding schemes such as New MillenniumIndian Technology Leadership Initiative (NMITLI)http://www.csir.res.in/nmitli/nmitli.html; Drugs &

Pharmaceutical Researchhttp://dst.gov.in/scprog/tecdev/drugspharmares.htm;Instrumentation Development Programme http://dst.gov.in/scprog/tecdev/instrdevprog.htm; Grants to Industry-PATSER Programme Aimed at Technological Self

Reliance (PATSER) http://dsir.nic.in; Home- GrownTechnology Programme (HGT) http://www.tifac.org.in/;Department of Information Technology http://www.mit.gov.in/R&D/projects/index.htm#about

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http://www.csir.res.in/nmitli/nmitli.htmlhttp://www.csir.res.in/nmitli/nmitli.htmlhttp://dst.gov.in/scprog/tecdev/drugspharmares.htmhttp://dst.gov.in/scprog/tecdev/drugspharmares.htmhttp://dst.gov.in/scprog/tecdev/instrdevprog.htmhttp://dst.gov.in/scprog/tecdev/instrdevprog.htmhttp://dst.gov.in/scprog/tecdev/instrdevprog.htmhttp://dsir.nic.in/http://dsir.nic.in/http://www.tifac.org.in/http://www.tifac.org.in/http://www.mit.gov.in/R&D/projects/index.htmhttp://www.mit.gov.in/R&D/projects/index.htmhttp://www.mit.gov.in/R&D/projects/index.htmhttp://www.mit.gov.in/R&D/projects/index.htmhttp://www.mit.gov.in/R&D/projects/index.htmhttp://www.mit.gov.in/R&D/projects/index.htmhttp://www.mit.gov.in/R&D/projects/index.htmhttp://www.mit.gov.in/R&D/projects/index.htmhttp://www.mit.gov.in/R&D/projects/index.htmhttp://www.mit.gov.in/R&D/projects/index.htmhttp://www.tifac.org.in/http://www.tifac.org.in/http://www.tifac.org.in/http://dsir.nic.in/http://dsir.nic.in/http://dsir.nic.in/http://dsir.nic.in/http://dsir.nic.in/http://dst.gov.in/scprog/tecdev/instrdevprog.htmhttp://dst.gov.in/scprog/tecdev/instrdevprog.htmhttp://dst.gov.in/scprog/tecdev/instrdevprog.htmhttp://dst.gov.in/scprog/tecdev/instrdevprog.htmhttp://dst.gov.in/scprog/tecdev/instrdevprog.htmhttp://dst.gov.in/scprog/tecdev/instrdevprog.htmhttp://dst.gov.in/scprog/tecdev/instrdevprog.htmhttp://dst.gov.in/scprog/tecdev/instrdevprog.htmhttp://dst.gov.in/scprog/tecdev/instrdevprog.htmhttp://dst.gov.in/scprog/tecdev/instrdevprog.htmhttp://dst.gov.in/scprog/tecdev/instrdevprog.htmhttp://dst.gov.in/scprog/tecdev/instrdevprog.htmhttp://dst.gov.in/scprog/tecdev/drugspharmares.htmhttp://dst.gov.in/scprog/tecdev/drugspharmares.htmhttp://dst.gov.in/scprog/tecdev/drugspharmares.htmhttp://dst.gov.in/scprog/tecdev/drugspharmares.htmhttp://dst.gov.in/scprog/tecdev/drugspharmares.htmhttp://dst.gov.in/scprog/tecdev/drugspharmares.htmhttp://dst.gov.in/scprog/tecdev/drugspharmares.htmhttp://dst.gov.in/scprog/tecdev/drugspharmares.htmhttp://dst.gov.in/scprog/tecdev/drugspharmares.htmhttp://dst.gov.in/scprog/tecdev/drugspharmares.htmhttp://dst.gov.in/scprog/tecdev/drugspharmares.htmhttp://dst.gov.in/scprog/tecdev/drugspharmares.htmhttp://www.csir.res.in/nmitli/nmitli.htmlhttp://www.csir.res.in/nmitli/nmitli.htmlhttp://www.csir.res.in/nmitli/nmitli.htmlhttp://www.csir.res.in/nmitli/nmitli.htmlhttp://www.csir.res.in/nmitli/nmitli.htmlhttp://www.csir.res.in/nmitli/nmitli.htmlhttp://www.csir.res.in/nmitli/nmitli.html

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Research and Development by

Industry (RDI) consisting of:

In-house R&D in industry

R&D by Scientific and IndustrialResearch Organisations (SIROs)

Fiscal Incentives for Scientific

Research

Programme Aimed at Technological

Self-Reliance (PATSER) consisting

of: Development of new or improved

technologies.

Development of special/custom

built capital goods.

Absorption and adaptation of

imported technology.

Studies and interactions

concerning technology evaluation

and pre-industry feasibility of

major sectors/products.

Technopreneur Promotion

Programme.

Scheme to Enhance the Efficacy of

Transfer of Technology (SEETOT)consists of:

National Register of Foreign

Collaborations (NRFC)

Transfer and Trading in

Technology (TATT)Promotion and Support to

Consultancy Services (PSCS)

including Consultancy

Development Centre (CDC)International Cooperation

Chart 3

Promotion of technology transfer national

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Promotion of technology transfer national

schemes National IPR Facilitating Centers

National Research Development Council (NRDC)Partnering innovators, entrepreneurs, institutions to protect theirinnovations in India and abroad and also help to commercialisetheir IPR

Technology Information and Forecasting Cell (TIFAC)

Facilitating patent searches, funding and facilitating filing ofpatents, partnering in commercialisation of IPR

National Innovation Fund

Working with grass-root innovators to protect their innovations and

also to facilitate technology transfer/ IPR commercialisationTechnology Incubation Programme

DST Funded incubation centers set up to facilitate entrepreneurshipdevelopment and IPR development and transfer

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Mission Led Projects

Strategic Technologies to build competitivecapabilities 4 National Level Projects led bythe Principal Scientific Advisor to GOI

TIFAC : Universities, Indian Institute ofTechnology ( set of them) and industries.

IPR will belong to Universities and IITs. First rights

to refusal to industry. Govt. will have march-inrights. Just initiated. Liberal licensing and benefitsharing will be developed.

LESSONS

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LESSONS

Identification of relevant

problem Investments by private industry

in their R&D labs

Active link and utilising facilitiesand expertise in Publicly FundedInstitutions and GovernmentAuthorities

Speedy science to developmentprocess/producttechnology forcommercial venture.

Exploring global partners for the steps role of international

organisations?, governments?, transnational companies? pganguli2003

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The Present Trend

Creation of Institutional IPR Policies

Active Involvement of Industry

Associations

Introduction of courses on IPR in various

institutions

IPR Awareness Workshops in Institutions,

Judiciary, Enforcement Agencies, Courses

on Licensing Strategies, Development of

IPR Manuals for the SME Sector, etc

WIPO Partnering in this process.

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...Several Science andTechnologies getting orphaned

due to non availability of funds toprogress IPRs on global scale

.inadequate infrastructure,

management skills, negotiationacumen, inadequate venture

capital culture

...No clout to negotiate due tofragmented technologies..lack of patent information

base

search skills, avoiding ofpganguli2003

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Social cost of granting wrong

patents

.high cost of litigationwhen is traditional knowledge

legitimate prior art

and under what circumstancesshould it be considered as socio-piracy

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Government

Constitute integrated single window NationalIPR Commission

National IPR literacy Mission Thrust

Development of competition law asbalancing positive measures to controloveruse of misuse of IPR.

Exploit geographical indicators to nationaladvantage.

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Re-structure the judiciary & enforcement

machinery for professional and speedy response

to IPR issues

Introduce enabling National Taxation Policy to

encourage IPR trade.

Networks for protection of grass root

innovation and innovators

Government

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Easy and cost effective access to IPR

information.

Set-up IPR training institutes to preparetechnically qualified attorneys

Urgently modernize the IPR Administrative

Set-ups in the country Establishment of IPR facilitating centres in

the country.

Government

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s

Institutional IPR Policys Integrating IPR into institutional mission, strategy

& project managements Effective Use of IPR information and international

alliancess Identifying areas of possible infringementss Licensing strategys

Policing of institutional IP assetss Litigation strategys IPR audits Effective utilisation of International Conventions.