110100 1 000 10 000100 000 1 000 000 “BERD”, despesas em I&D pelo sector privado (log) Família de patentes* (log) 10 100 1 000 10 000 100 000 Famílias.

Apresentação em tema: "110100 1 000 10 000100 000 1 000 000 “BERD”, despesas em I&D pelo sector privado (log) Família de patentes* (log) 10 100 1 000 10 000 100 000 Famílias."— Transcrição da apresentação:

1 110100 1 000 10 000100 000 1 000 000 “BERD”, despesas em I&D pelo sector privado (log) Família de patentes* (log) 10 100 1 000 10 000 100 000 Famílias de patentes e despesa de investigação pelo sector privado em 1991-1999 Fonte: OECD, Patent and R&D Databases, Novembro 2003. 0 Turkey Portugal Slovak Republic Greece Iceland Poland Czech Republic Mexico Hungary Ireland Norway Spain Russian Federation Denmark Israel New Zealand Australia Canada Korea Italy Sweden Belgium Finland Austria Netherlands France United Kingdom Switzerland Germany Japan United States EU * Patentes registadas na Europa, Estados Unidos e Japão (EPO, USPTO, JPO).

2

3

4

5

6

7 Taxa de crescimento nas publicações, apesar de baixos valores absolutos Indícios de mudança qualitativa…

8 Patentes registadas no EPO e no USPO Indícios de mudança qualitativa…

9 Protection methods for innovations in the EU, by sector and by size-class, 1998-2000(1) Source: Eurostat NewCronos Database –CIS 3 Results Protection methods for innovations in PT, by sector and by size-class, 1998-2000(1) Source: Eurostat NewCronos Database –CIS 3 Results (1) Reference population is all EU enterprises with Innovation Activity (1) Reference population is all Portuguese enterprises with Innovation Activity

10 European Innovation Scoreboard Indicators 19 main indicators: to summarize the main drivers and outputs of innovation. –Human resources for innovation (5 indicators); –the Creation of new knowledge (4 indicators); –the Transmission and application of knowledge (3 indicators); –Innovation finance, output and markets (7 indicators). Once split indicators for services/manufacturing and USPTO/EPO patents are counted, there are 28 indicators in total. Summary Innovation Index (SII) -1: based on all main EIS indicators.The SII-1 is calculated for the EU member states plus Switzerland, Iceland and Norway. It is not calculated for the Acceding and Candidate countries and for the US and Japan because of missing data for many of the indicators. Summary Innovation Index (SII) -2: restricted set of ten indicators that are available for almost all countries. –S&E graduates (1.1), –working population with a tertiary education (1.2), –lifelong learning (1.3), –employment in high tech manufacturing (1.4), –employment in high tech services (1.5), –public R&D (2.1), –business R&D (2.2), –high tech patents (2.3 split between the EPO and USPTO), –all patents (2.4 split between the EPO and USPTO) –ICT expenditures.

11 Overall Country Trends by Summary Innovation Index-2 (Innovation Scoreboard 2003)

12 Although there is a long tradition of supporting property rights in the US (it is part of the original US Constitution), in the 1980s and onwards there has been an increasing intensification of fillings and granting of patents, namely due to: The creation of a federal court focusing on patent litigation The Bayh-Dole Act, which has permitted outcomes of federal-funded (publicly funded) research to be patented The increase breadth of patent claims allowed by the US Patent Office Widening of national patent and intellectual property rights to the global level (namely through the WTO Trade-Related Aspects of Intellectual Property Rights, or TRIPS, agreements) Private mechanisms for S&T : US

13 Private incentives, by awarding property rights to the creator, in which case private resources are devoted to innovative and scientific effort The Analytical Perspective - 1 The “standard” ways of promoting science and technology: Public incentives, by publicly supporting science and technology, and requiring R&D results to remain public or to serve public purposes (as in defense procurement, for example)

14 Property Patronage Public Provision A serious threat: “the tragedy of the commons”...Paul David(2000) ill-considered public support for expanding legal means of controlling access to information for the purpose of extracting private economic rents is resulting in the “over-fencing of the public knowledge commons” in science and engineering The need for open, collaborative research...

15 It is crucial to mobilize the creative and entrepreneurial capacity of individuals and firms The Analytical Perspective - 2 Why do we not rely only on public incentives? The market is very effective at adapting, ameliorating and diffusing technologies Many firms, especially in specific sectors such as pharmaceuticals and semiconductors, currently hold a substantial part of the available scientific and technological capacity Public allocation of resources may not adequately meet the technological and business opportunities that may entice firms and individuals to engage in creative effort

16 Externalities (spillovers) from new technologies entail that private investment is often sub-optimal The Analytical Perspective - 3 Why do we not rely only on private incentives? The market may lack the incentives for “public good” types of objectives that require scientific and technological advancements Private incentives are inadequate to stimulate long-term, basic research The overall science and technological system relies on institutions and activities that are primarily publicly funded (universities, for example)

17 At the conceptual level, it is difficult to answer this question, other than to say that there should be a balance, rather than going all the way to private or to public incentives alone The Analytical Perspective - 4 What, then, is the right balance between private and public incentives? Mostly an empirical question: Is the balance adequately meeting the social and economic demands for new science and technology, as expressed by economic and political expressions? Is the balance adequately facing not only our current demands, but making the investments needed to meet the challenges of the future?...see, for example, Paul Rommer (2000)

18 The Analytical Perspective - 4  …this question is too simplistic!  countries should not rush to emulate the apparent swinging of the pendulum towards private incentives. The previous analysis suggests that, at least in the case of the US, but increasingly in the OECD as a whole, the “pendulum” is swinging towards private incentives, and that this corresponds to the current economic and political demands of our time. Is this so?

19 1.Intellectual Property Protection: concepts 2.The Patent Systems 3.The process of Technology Transfer CONTENTS. Part 1

20 1- Intellectual Property: What is it? A Case Study: During a master degree in Biotechnology, the student and her Coordinator developed an improved process for “clavulanic acid production” with licensing potential to the pharmaceutical industry… Which are the rights of the student in this invention? Which are the rights of the University? Which kind of protection will be provided? What could be considered a disclosure?

21 2 - Intellectual Property: What is it? creations of the human knowledge based on two principles: moral - the authorship should be protected and recognized to the authors economic - the warranty of exclusiveness and loyalty competition provided by the State, favours the exploitation of inventions/creations. … but the fundamental goal is to promote “institutional integrity”, and to contirbute for the diffusion of knowledge and innovation

22 3 - Intellectual Property: What is it? Industrial Property: utility patents trademarks designs service marks trade secrets Copyrights: literary works computer programs multimedia works audiovisual works informational databases authored works

23 COPYRIGHT PROTECTION 1. Right to reproduce the work 2. Right to prepare derivative works 3. Distribution rights 4. Right to public display and public performance 5. Prevents unauthorized copying EXCLUSION FROM COPYRIGHT 1. Ideas as opposed to the creative expression of ideas 2. Short names and slogans (generally not subject) 3. Factual information

24 COPYRIGHTS COPYRIGHT REGISTRATION 1. Not mandatory 2. Prerequisite to filing an infringement lawsuit 3. Consists in filling out of a form and sending it to the Copyright Office, with at least one deposit copy of the work 4. Much less expensive than a patent application TERM OF COPYRIGHT 1. Life of the author plus 70 years or… 2. In the case of works for hire, 70 years from publication

25 COPYRIGHT NOTICE Copyright “ © ” - year of first publication - owner © 1999, Instituto Superior Técnico A copyright notice is no longer mandatory, but can help to defeat a claim to innocent, non-willful, infringement.

26 What is a patent and what are its advantages? a title that gives to the owner the exclusive right to manufacture, market or exploit for gain the invention claimed in the patent excludes others from the use of an invention without the consent of the owner (negative right), for 20 years from date of the filing also prohibits the import of protected products from countries in which the invention is not patented

27 What is a patent and what are its advantages? Promotes institutional integrity Promotes commercialization strategies Patents are a source of information of new products and processes

28 What is patentable? Inventions which are: 1. NEW 2. Involve an INVENTIVE STEP 3. Susceptible of INDUSTRIAL APPLICATION

29 An invention is new if... …prior to the date of filing or to the “priority date”, it was not already known to the public in any form (written, oral or through use), i.e. it did not form part of the “state of the art”.

30 What is the grace period? The period that the inventor has to file a patent application from the time of the invention’s disclosure (by printed publication, public use or sale, etc). Portugal - 1 yearMexico - 1year USA - 1 yearJapan - 6 months European patent - 6 months

31 Novelty Check List 1. Open literature 2. Inclusion in a thesis or other accessible document deposited in a library 3. On Internet 4. Oral disclosure at scientific meetings (including poster sessions) 5. Any talk or demonstration at colloquium, lecture, or the like 6. To any visitors to the laboratory, in a non-confidential manner 7. By being put to public use after experimental trial 8. By advertisement, sale, or any other form of commercial activity which is public (based on R S Crespi, Patenting in the Biological Sciences, John Wiley 1982)

32 An invention involves an inventive step if... …based on the state-of-the-art, it is not obvious to a person skilled in the art.

33 An invention is susceptible of industrial application if... …it can be made or used in any kind of industry (including agriculture).

34 What is not patentable? The European Patent Convention (1973) excluded from the European patent the following: aesthetic creations; mathematical formulae; business methods computer programs discoveries immoral or anti-social inventions animal and plant varieties essentially biological processes medical methods - surgery, etc.

35 The Patent Systems  No World Patent System / various regional treaties instead  European Patent Convention: a regional system for Europe (19 States)  Patent Cooperation Treaty: the broadest international scope (70 States)  National Patent Systems continue to grant national patents

36 European Patent Convention European Patent Organization is an inter-governmental body established by the European Patent Convention (EPC), which entered into force in 1977. All member States of the European Union are EPC Contracting States - Infringement of EP = National Law in each contracting state European Patent Office (EPO) grants European Patents, which can obtain protection in all 19 member states

37 What is a European Patent? it is a bundle of National Patents, for example: - European Patent (UK) = UK National Patent - European Patent (Germany) = German National Patent (more countries we want it to cover, more expensive it is) Translations must be presented in English, French or German applications filed with the EPO in Munich, its branches in Hague and Berlin, and with the national patent authorities of the member states Granted after Legal and Technical examination by the EPO Infringement of EP = National Law in each contracting state

38 How much does a European patent cost? … EUROS 2 710 - filing, search and designation fees due at the beginning EUROS 5 650 - average European application (with 8 designated States), includes the filing, search, designation, examination and grant fees, as well as the renewal fees for the 3 rd and 4 th year Please don’t forget … - the translation costs (most countries require a translation of the patent in their official language) - patent attorney’s fees (if your residence or principal place of business is in one of the member states, you are not obliged to be represented by a patent attorney)

39 Comparative Costs of Patent Applications Source: IRDAC, 1996, in “IPR: Patents and Innovation in the International Context ” OCDE, June 1997, pp. 22 (in DM)

40 Green Paper on the Community Patent 1975 - Community Patent Convention (not yet in operation) 1997 - Green Paper on the Community Patent (consultation is underway) Community patent: single application through the EPO will mature in a single title of property covering the whole of the European Union English as the Community patent language ? (political difficulties and implications) litigation - Whose court should have jurisdiction over a Community patent ? (political and constitutional issues)

41 Patent Cooperation Treaty (PCT) Application  Patent Cooperation Treaty is a multilateral treaty, concluded in Washington in 1970  entered into force 1978  administered by the International Bureau of WIPO (World Intellectual Property Organization - Geneva)  70 members states

42 PCT BENEFITS PRO Postpone fees (filing and maintenance) up to 30 months International search Allows commercial evaluation Selection of countries English prosecution CON Extra expense Delays prosecution Non-binding patentability opinion

43 PRINCIPAL PATENTING OPTIONS File patent applications in all countries /regions of interest Many countries publish applications with official search Pay fees for substantive examination (not in USA). In event of official objections, amend claims if necessary Patent granted:specification (re)published as amended Convert regional patent into national patents Patents expire Pay renewal fees on rising scale until expiry Months 0 12 18 19 20 30 $$ $$$ $$ $$/$$$ Adapted from “Patents: An Overview” by BTG

44 Worldwide Patent Application by origin (1995) Cordis nº121, “The importance of Intellectual Property Rights (IPR) in innovation” Typical published data BUT,... international comparisons can be misleading namely when Japanese patents are analyzed

45

46 Parte 2 Protecção da Propriedade Intelectual: O caso das Universidades e Instituições Públicas de Investigação

47 MECANISMOS TRADICIONAIS DE PROMOÇÂO DAS UNIVERSIDADES e da I&D NA SOCIEDADE O modelo: “american university” como referência !! 1.Protecção da Propriedade Intelectual caracteristicas: impacto económico desprezável promove a integridade institucional requere adaptação e flexibilidade 2.Infraestruturas Tecnológicas e Parques de C&T caracteristicas: enfâse no desenvolvimento local não têm promovido ligações U-I

48 Patentes em Universidades Americanas AUTM Licensing Survey, 1991-95 AUTM (1997)

49 Porquê as Universidades Protegem and Licenciam a Propriedade Intelectual Novas receitas, com “Royalties” Source: “Building Bridges”, Lita Nelsen, MIT Induz ligações com a sociedade, promovendo a integridade institucional Atrai financiamento industrial para a I&D, fomentando ligações com as empresas Motiva os docentes/investigadores : Aplicação de resultados Oportunidades de consultoria Promove novas oportunidades para alunos

50 University License Start-up Company X w/ Core Technology Own Products (Later) Company A Company B Company C Product A Product B Product C Source: “Building Bridges”, Lita Nelsen, MIT Technology Transfer

51 START-UP COMPANIES Advantages Focus Commitment to Technology Product development in Parallel Multiple Partnering Upside Potential If Direction of Product development Changes? Local Economic Development Source: “Building Bridges”, Lita Nelsen, MIT

52 START-UP COMPANIES Disadvantages High Risks: Financial, Technical, Marketing, People Alienate Large Companies / Sponsors Conflicts of Interest: real and perceived Source:“Building Bridges”, Lita Nelsen, MIT

53 When is a Start-up Attractive? Source: “Building Bridges”, Lita Nelsen, MIT  Very Early Stage /High Risk Technology  Multiple Applications  No existing Industry  Active Participation by Inventors

54 The Virtual Incubator “Incubation” IDEA COMPANY FORMATION PRODUCT DEVELOPMENT PROFITABLE OPERATIONS & GROWTH A B C Source: “Building Bridges”, Lita Nelsen, MIT

55 Phase A IDEA COMPANY FORMATION WHAT’S NEEDED? Intellectual Property Protection Introduction to Investors Company Conceptualization Seed Capital Management Team Legal Advice Business Plan Office Space Source: “Building Bridges”, Lita Nelsen, MIT

56 Phase B COMPANY FORMATION PRODUCT DEVELOPMENT WHAT’S NEEDED? Labs Money Staff Management Guidance Business Development Source: “Building Bridges”, Lita Nelsen, MIT

57 ON-GOING DEBATE... Is IPP compatible with the emergence of the Knowledge Based Society? Some readings: Thurow (1997), Harvard Business Review, September-October, pp. 95 - 103 Ferné (1998), OECD Observer, (210) February/March, pp. 23 - 27 Conceição, Heitor and Oliveira (1998) Technovation, 18 (10), pp. 615 - 625 Conceição, Heitor and Oliveira (1999), Kluwer Academic Publishers

58 USEFUL SITES WIPO - http://www.wipo.org EPO - http://www.european-patent-office.org IPR Helpdesk - http://www.cordis.lu/ipr- helpdesk AUTM - http://www.crpc.rice.edu/autm

59 USEFUL SITES Patent Databases Free Searches 1. Esp@cenet http://ep.dips.org 2. IBM Server http://patent.womplex.ibm.com 3. USPTO http://www.uspto.gov/patft Paid Searches 1. Dialog http://www.dialog.com 2. Knowledge Express...www.KnowledgeExpr ess.com

60

61 Inovação em Portugal: O que sabemos? O que gostariamos de saber? O que gostariamos de saber?...debate...debate Parte 3: Difusão de C,T&I

62 em suma....... Mas a concepção e implementação de políticas requer dois desafios: –A compreensão das barreiras e oportunidades –A falta de recursos humanos qualificados aptos a promover a inovação como prioridade empresarial Portugal requer evoluir de um modelo de crescimento económico de “catching-up”, para um modelo de “forging-ahead”, através da exploração da criatividade e da difusão da inovação.

63 Ou Há também sinais de alterações qualitativas? Convergência: quantitativa vs. qualitativa ? Convergência: quantitativa vs. qualitativa ? Crescimento quantitativo tardio? Permanecem debilidades qualitativas? Questões :

64 Indícios de mudança qualitativa… “ME’s Catching Up”

65 Indícios de mudança qualitativa… Inovação menos confinada aos sectores de alta tecnologia

66 Indícios de mudança qualitativa… (Source: R&D Survey, IPCTN, 2002)

67 Indícios de mudança qualitativa…

68 Indícios de persistência de debilidades estruturais…

69

70

71 A percepção das barreiras á inovação

72 Indícios de persistência de debilidades estruturais… Do CIS II para o CIS III: níveis de cooperação inter-empresas continuam baixos!

73 O desempenho de inovação pelas empresas portuguesas melhorou, de acordo com estes indicadores agregados.O desempenho de inovação pelas empresas portuguesas melhorou, de acordo com estes indicadores agregados. Conclusões: o que já sabemos Há uma correlação entre a inovação tecnológica e a inovação organizacional, indicando a importância dos custos de adaptação organizacional.Há uma correlação entre a inovação tecnológica e a inovação organizacional, indicando a importância dos custos de adaptação organizacional. Permanecem importantes debilidades estruturais, tanto devidas a factores externos como internos às empresas. Estas atribuem maior importância aos factores que não controlam, pelo que provavelmente tendem a sub-investir naqueles que podem influenciar.Permanecem importantes debilidades estruturais, tanto devidas a factores externos como internos às empresas. Estas atribuem maior importância aos factores que não controlam, pelo que provavelmente tendem a sub-investir naqueles que podem influenciar. Debilidade de interacção/cooperação entre os actores, quer das empresas entre si, quer com as instituições produtoras de conhecimento.Debilidade de interacção/cooperação entre os actores, quer das empresas entre si, quer com as instituições produtoras de conhecimento.

74 Um novo modelo de crescimento económico baseado na inovação e no conhecimento requer: A orientação para novos mercados, mais sofisticados e concorrenciais –Estimulam as empresas a aceder a bases de conhecimento e à mudança organizacional –Estimulam a cooperação inter-institucional (condição de sobrevivência) O desenvolvimento/incorporação de novas competências, nomeadamente em C&T A exposição a ambientes de alta intensidade tecnológica (ex.:CERN, ESA…) Desafio: integração das políticas públicas sectoriais e mobilização de actores privados e públicos

75 É preciso ir além deste tipo de estudo macro e baseado em inovação auto-reportada: caracterizar e tipificar os processos de inovação empresariais.É preciso ir além deste tipo de estudo macro e baseado em inovação auto-reportada: caracterizar e tipificar os processos de inovação empresariais. Quais são os custos de adaptação e aprendizagem organizacional da inovação? Como podem ser minimizados? Quais são as oportunidades criadas pela mudança organizacional? Como podem ser optimizadas?Quais são os custos de adaptação e aprendizagem organizacional da inovação? Como podem ser minimizados? Quais são as oportunidades criadas pela mudança organizacional? Como podem ser optimizadas? Conclusões: O que seria importante saber

76 Como activar a colaboração das empresas entre si, com as instituições de investigação… para os sectores mais dinâmicos “puxarem” os menos inovadores?Como activar a colaboração das empresas entre si, com as instituições de investigação… para os sectores mais dinâmicos “puxarem” os menos inovadores? Qual o impacto das políticas públicas? Que políticas devem ser prosseguidas, desenvolvidas ou substituídas? Como devem ser combinadas e integradas?Qual o impacto das políticas públicas? Que políticas devem ser prosseguidas, desenvolvidas ou substituídas? Como devem ser combinadas e integradas? Conclusões: O que seria importante saber