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2009/SOM1/IPEG/SEM/015 Session: 4

Tech Transfer: Challenges and Issues for SMEs

Submitted by: WIPO

From Mind to Market: The Highs and Lows of Technology Transfer

Singapore23-24 February 2009

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T h T f Ch llTech Transfer: Challenges and Issues for SMEs

G S J iG S Jaiya

Director, Small and Medium Enterprises Division, WIPO

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WIPO’s Activities for SMEs

• Promote a more active and effective use of the IPR system by SMEs

• Strengthen the capacity of national governments to develop strategies, policies and programs to meet the intellectual property needs of SMEs

• Improve the capacity of relevant public, private and civil society institutions, such as business and i d t i ti t id IP l t d

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industry associations, to provide IP-related services to SMEs

• Provide comprehensive web-based information and basic advice on IP issues to SMEs support institutions worldwide

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Some Recent Studies of Interest

Benchmarking National and Regional Support Benchmarking National and Regional Support Services for SMEs on IPRs (EU27+); 2007

Support Services in the Field of IPRs for SMEs in Switzerland; A Review; 2008

Technology Transfer, IP and Effective University-Industry Partnerships: The Experience of China

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Industry Partnerships: The Experience of China, India, Japan, Philippines, Republic of Korea, Singapore and Thailand; 2005

R&D / IP Creation

Dynamic Interactions between Research, Innovation & Enterprise

Innovation / Technology Commercialization

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New Venture Creation New Products from Existing Firms

Technology Utilization / Diffusion

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Rapid diffusion & effective exploitation of existing S&T important for Enterprises in early stages of industrial development, while capacity to create own IP become more

i i l i l

Dynamic Interactions among R, I and E

critical in later stages

High R&D investment need not lead to high innovation (defined as commercial exploitation of the knowledge/IP created through R&D)

Innovation pattern drives enterprise dynamism, which in turn influences the intensities and nature of future R&D and innovation pattern

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innovation pattern

Access to global technologies and talents can complement indigenous capability development

Two related perspectives on dynamic interactions:

– National Innovation System perspective

– Enterprise Ecosystem perspective

Need for a Holistic Approach

Sustainable R&D funding Sustainable R&D funding

Long term R&D strategies

Professional R&D management

Proactive communication efforts

T h l t f t t i

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Technology transfer strategies

Regional development in general

Market development

Tax, immigration and property rights laws

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University Teaching is Key What’s most important: Graduates are the most

important output of universities and thus their most i ib i h l fimportant contribution to technology transfer. There-fore, university teaching is key – also for the econo-mic development of a country and its regions.

Best faculty: If university teaching is key – hiring the best faculty is even more important.

i i i d b i i

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Entrepreneurship: Start-ups initiated by university graduates are more important for the economic tissue of a region than spin-offs of a university. Therefore, fostering entrepreneurship has to be part of standard curricula.

Including Technology Transfer in R&D

Explicit and comprehensive: Universities and research institutes should develop explicit technologyresearch institutes should develop explicit technology transfer strategies. Moreover, technology transfer has to be part of an overall R&D management.

Basic and applied science: One of the best ways to be successful in technology transfer is to link basic and applied science.

BIS-RTD

and applied science.

Technology transfer is a give and take! Integrating business partners and their specific needs already in the design of research projects facilitates the transfer of innovation.

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Demand Driven – Innovation Driven!

More than improvements: Demand driven R&D mostly improves existing technologies or processes.Innovation driven technology transfer has to be enhanced as well in order to achieve real innovation.

Seed money: Public money will be needed to support innovation driven technology transfer and proof of

j

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concept projects.

Matching responsibilities: Industrial partners should contribute financially. Matching funds are the most successful way to foster innovation driven technology transfer.

Specific Challenge: Addressing SME

Sustainable economic development: SME are key for a sustainable economic tissue of a region. Special attention therefore, has to be given to integrating SME in R&D networks.

Special care: SME usually don’t have the resources to tackle more than their daily business. Moreover, h d ’ h i h i ifi i

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they don’t have ties to the scientific community. Knowing their specific needs and offering concrete services therefore is decisive for successfully addressing SME.

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Technology Transfer: Some Best Practices

Regular institutionalized contacts of universities and Regular, institutionalized contacts of universities and industrial partners can build up mutual understanding.

Specific clubs of regional companies as “group of friends of the university” seem to be promising.

Joint projects of research institutes and industrial partners

Internships in the industry as part of standard university i l

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curricula

Industrial partners lecturing at the universities

Sabbaticals of university professors in the industry

Common situation in SMEs performance and innovation management capacity:

• Can an average entrepreneur be sure about managing the

business with high efficiency, min losses? NO!

• Does he/she use some dedicated IT tools to measure

business results and simulate major decisions? NO!

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• Can innovation, technology transfer and globalization

threats be managed effectively in such a case? NO!

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What are New Technology Based Instutional Forms (NTIFs)?

TechnopolesT h l kTechnology parks

Science/research parksScience citiesCenters of excellenceTechnology incubators

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Technology incubators Innovation centers…

Technology ParksRoles

Technological support to SMEs

Business linkages

Counseling services (financial, administrative, technical, legal, …)

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Technology transfer

Local development: catalyst for enterprises

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Technology incubatorsRoles

Overall economic development Overall economic development Development of entrepreneurial culture Promotion of SME productivity and

competitiveness Transforming research results to products and

services

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services Dissemination of technical skills Strengthening public-private cooperation and

effective utilization of capital

Paisley Innovation & Knowledge Transfer (PIKT)

A Scottish Executive SEEKIT Project

Objective

– Use the University knowledge and skill base to help SMEs overcome technical & change management challenges.

PIKT provides 3 key components of business support.

– Awareness

S i k h i it d i

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• Seminars, workshops, visits, advice.

– Assessment

• On-site experts to help define your key technology challenges and how to tackle them.

– Access

• University experts & funding to meet you business objectives.

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PIKT Project -Benefits

To the SME

– Gain new technical knowledge.

– Get help with development of new products.

– Access high-tech equipment.

– Access joint funds.

To the University

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– Generate and improve links between the University of Paisley and local SMEs.

– Improve commercial awareness of University staff.

– Develop future collaboration routes.

Promotion of Technology Transfergy fand Patent Licensing

- for SMEs -

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NCIPI: National Center for IndustrialProperty Information and Training

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What is NCIPI ?

NCIPI is an independent national administrative agency (Government agency).

Established in April 2001 (Separated from the Japan Patent Office)

Extended operations in October 2004

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Extended operations in October 2004

79 staff members

Mission of NCIPI

Industrial Property Gazettes Library

Consultation on industrial property p p ysystem

Training both for JPO staff and general public

Dissemination of patent information

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Dissemination of patent information (IPDL, etc.)

Promotion of technology transfer and patent licensing

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LargeLarge--scalescale2.4％

Need for TechNeed for Tech--TransferTransfer

YES (90 5%)

Background of NCIPI Measures for PromotingTechnology-Transfer & Patent Licensing

NO(7 7%)TechTech--Transfer ExperienceTransfer Experience

13.6％

0% 25% 50% 75% 100%

LargeLarge--scale scale EnterprisesEnterprises

SMEsSMEs

NO OTHER

YES (90.5%)

YES (80.0%)

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0% 25% 50% 75% 100%

NO(7.7%)

OTHER

(Source: NCIPI Questionnaire Survey in 2000)

LargeLarge--scale scale EnterprisesEnterprises

SMEsSMEs

YES (88.7%)

YES (27.5%) NO (68.47%)

16 7%Financial Difficulty

Obstacles to Technology TransferObstacles to Technology Transfer

31.6%

41.3%

43.0%

46.4%

11.3%

16.7%Financial Difficulty

Lack of Knowledge to Conduct Tech-Transfer

Lack of Information on Tech-Transfer

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27.4%11.3%

0 20 40 60

(Source: NCIPI Questionnaire Survey in 2000)

LargeLarge--scale scale EnterprisesEnterprises

SMEsSMEsLack of Experts in Patent Licensing

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Promotion of Tech-Transfer (1)---- Patent Licensing Advisor ----

・Official specialists in technology transfer・Dispatched 110 advisors to prefectural governments

University, Research Institutes, Companies

SMEs, Venture Businesses

Matchmaker of Technology Transfer

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p p gand TLOs (October 2004）

・Nationwide network of advisors・Visit companies, universities and research institutes・Collect technological needs and licensable

technological seeds・Make a match of them

Promotion of Tech-Transfer (2)

-- Construction of Patent Licensing Database --

・Retrieve licensable patents of companies, universities and research institutes on the Internet.

・About 55,000 licensable patents （At the end of October, 2004） Patent

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（ , ）

・ Free-of-charge

Patent licensing

http://www.ryutu.ncipi.go.jp/en/db/index.html

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Patent Licensing DatabaseRegistering licensable patent information Registering licensable patent information into the Database and Offering it on the Internetinto the Database and Offering it on the Internet

PartiesPartieswho wantwho wantto discloseto discloselicensablelicensable

patentspatents

PartiesPartiesseekingseeking

licensablelicensablepatentspatents

Patent Licensing DBPatent Licensing DB

･･ patent licensing patent licensing informationinformation

･･ information oninformation onff

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demands fordemands fortechnologiestechnologiesCompanies, universitiesCompanies, universities

and research institutesand research institutesthat want to licensethat want to licensepatented technologiespatented technologies

Companies which Companies which want to use want to use licensable patents licensable patents

Patent Licensing DB’sSearch Screen

New functions added to the Patent Licensing DB

■ Introducing your licensable patent on your Website (Virtual DB function)

■ Developing own Patent Licensing DB not necessary

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(Your website directly connectedto the Patent Licensing DB)

■ NCIPI invites applications to register and place licensable patents on the DB

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Promotion of Tech-Transfer (3)

-- Charts for Supporting Patent Licensing --(P M )(Patent Maps)

・Numerous technical themes available for small and medium-sized enterprises.

・Analyze patent information and identify trends.・Introduce company patent information.

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p y p・Based on 2000-3000 patents applied for in the past 10 years.・Analyzed by experts on each technical theme.・High quality

＜Only Japanese patents are available due to budget constraints.＞

Technical Themes in 2003Technical Themes in 2003

Machines Using Ferments15Recognition of 3D Objects18

Light Metal Complex Material14Networked Electrical Appliances17

Technical ThemeChemistryTechnical ThemeElectricity

Improvement of Soil21Cogeneration System10

Magnesium Alloy20Networked Industrial System9

Use of Kichin & Kitosan19Technical ThemeMachinery

Syntheses of Solid Membrane on Metal Surface

18Sound Compression Technique21

Treatment and Use of Garbage17Remote Medical & Nursing System20

Biomass Energy 16LED for Lighting Facilities 19

Machines Using Ferments15Recognition of 3D Objects18

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Snow Melting Technique13

Mass Analyses12

Minus Ions Producers11

Barrier-free Houses10Easily-Removable Fixation System12

Technical ThemeGeneral TopicsNursing Bath Machine11

We have managed 67 themesWe have managed 67 themessince 2001!since 2001!

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220 33 10 97 21 24 40Composition

Example of Matrix Analysis in the Charts Example of Matrix Analysis in the Charts (Ex. Technique of the Treatment of Water Using Adsorption) (Ex. Technique of the Treatment of Water Using Adsorption)

63

107

73

33

104

60

81

22

14

9

12

79

27

127

21

19

50

13

30

44

46

9

5

44

11

85

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Change of Structure

Manufacturing Method

Treatment Method

Control Method

Position of Treatment

Using Other Methods

We show the number of We show the number of applications in a figure applications in a figure

with bubbles.with bubbles.

Solutions

Solutions

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Find new solutions.Find new solutions.ProblemsProblems

Improvem

ent of A

dsorption Ability

Long Term

Use of

Adsorption M

aterials

Use of P

roduction

Low

ering Expenses

Improvem

ent of Usage

Maintenance of the

Water Q

uality

Improvem

ent of S

trength of Adsorbents

Promotion of Tech-Transfer (4)

---- Patent Information Advisor ----

・Advises and gives lectures on searching and utilizing patentinformation

・Answers any questions concerning how to use the Industrial Property Digital Library (IPDL) and other patent information

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p y g y ( ) pservices(IPDL: http://www.ipdl.ncipi.go.jp/homepg_e.ipdl)

・Conducting search demonstrationsIPDL

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Patent Information AdvisorDispatch Service

What is a Patent

Information Advisor?

・46 Advisors are now dispatched to prefectural governments throughout Japan.

・Search advising services are provided as a part of prefectural programs

・ Advice provided on how to use the IPDL and other patent information services and on how to utilize patent information.

・ Instruction geared for each level, from basic to high level.

Providing consultation services Providing consultation services

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Tasks of aPatent

Information Advisor

gas resident advisors at the office

Providing on-siteconsultation and advice

Providing lectures at seminarsof prefectural governments

gvia the IPDL’s private lines

Providing in-house trainingservices to companies

Periodical instruction

Adviceprovided at no charge

Promotion of Tech-Transfer (5)

----Patent Licensing Business Information----Service on Patent Licensing Agents(Patent Licensing Agents Database)

・Gathers information submitted by agents who carry out patent licensing business.

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・Information about licensing agent operations provided.

・Available via the Internet for anyone to access.

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Number of Patent Licensing Agents Registered in NCIPI Website

26

46

5561

64

30

40

50

60

70

of

Regis

tere

d A

gents

33

0

10

20

Num

ber

2000 2001 2002 2003 Oct. 2004

Year

Promotion of Tech-Transfer--- Other Services ---

1) Providing examples of licensable patentutilization on NCIPI website

2) Seminars for encouraging patent licensing(international and domestic)

3) Training programs for fostering

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) g p g gpatent licensing agents

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Results of Patent LicensingAdvisor’s Activities

40804000

4500

year

14781223

2701

13791500

2000

2500

3000

3500

4000

er

of

Contr

acts

y

total

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6 6 43 49 130 179409

588890

0

500

1000

Num

b

1 997 1998 1999 2000 2001 2002 2003

Fiscal Year

Results of Patent LicensingAdvisor’s Activities

120 200

140 ,000 1 ,500

120 ,200

46 200

572

772

1 ,073

60 ,000

80 ,000

100 ,000

120 ,000

co

no

mic

im

pac

tm

illi

on

ye

n)

5 00

700

900

1 ,100

1 ,300

al n

um

be

r o

fb

s c

reate

d

economic impact

employmenti

36

14 ,200

46 ,200

1 ,500

25 ,800

202

41

0

20 ,000

40 ,000

'97- '99 '97- '00 '97- '01 '97- '02 '97- '03

year

tota

l e (m

- 100

100

300

500

tota jo

b

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Example A --From Large Company to Distant SME--

1) President of small press making company happens to find some hints in drawings from his customer.

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2)The key technology was patented to a major automobile company in Hiroshima prefecture.

3) The president consults a patent licensing advisor in Chiba

Example A --From Large Company to Distant SME--

gprefecture.

4) The advisor soon makes contact with another advisor who works where the automobile company is located.

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located.

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5) Two advisors join together to license the patent from the

Example A --From Large Company to Distant SME--

pautomobile company to the small press company. → Finally, the patent is successfully licensed.

NOTE:

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NOTE:Patent Licensing Advisors・Nationwide network・Trusted by both large and smallcompanies

Example B --From University to SME--

1) A small company comes to know of new microscopicknow of new microscopic technology at a university in Kyoto and contacts the TLO of the university.

2) The patent licensing advisor f th TLO i d t il d

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of the TLO gives detailed information to the company and coordinates discussion between the inventor and the company.

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Example B --From University to SME--

3) Then the patent licensing advisor arranges the evaluation ofa trial piece.

4) Finally, the company decides to license the technology after the evaluation.

NOTE

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NOTE:Patent Licensing Advisors・Dispatched to many university TLOs・Coordinate various matters fortechnology transfer

NCIPIURL: http://www.ncipi.go.jp/english

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Thank you for your attention!