effect of the intellectual property (ip) regime on generating value from publicly funded research: a...

EFFECT OF THE INTELLECTUAL PROPERTY (IP) REGIME ON GENERATING VALUE FROM PUBLICLY FUNDED RESEARCH: A CASE STUDY OF BOTSWANA

BY

NJOKU OLA AMA

DEPARTMENT OF STATISTICS, UNIVERSITY OF BOTSWANA, GABORONE

E-mail: [email protected]; [email protected]

04/19/2

3

OPEN AIR INTERIM WORKSHOP, FAIRVIEW HOTEL, KENYA, NAIROBI, 26-29 MARCH 2012

ORDER OF PRESENTATION

RESEARCH PROBLEM & CONTEXT

RESEARCH OBJECTIVES & QUESTIONS

METHODOLOGY & DESIGN

FINDINGS

CONCLUSION

04/19/2

3OPEN AIR INTERIM WORKSHOP, FAIRVIEW HOTEL, KENYA, NAIROBI, 26-29 MARCH

2012

RESEARCH PROBLEM AND CONTEXT

Intellectual property rights have traditionally been the primary policy mechanism for encouraging private investments in innovation, including for the production of mitigation and adaptation technologies (Latif et al. 2011)

Benefits accruing from publicly funded research to the nation and individual researchers can be influenced by the IP regime and management embodied in the policies.

An understanding of the researchers’ perception and experiences in their research life is essential for proper policy formulation and management of IP policies to enhance innovation.

Policies that encourage openness in the dissemination of research outputs are more likely to encourage active participation in research and innovation.

04/19/2

3OPEN AIR INTERIM WORKSHOP, FAIRVIEW HOTEL, KENYA, NAIROBI, 26-

29 MARCH 2012

Research problem contd. Many great ideas springing from publicly funded research do not make it beyond

the laboratory and into the marketplace.

A number of reasons have been adduced and they include: a lack of funding to scale up and commercialize an idea, a lack of business expertise to understand the next steps for commercialization, a lack of human capital to build start-up companies when appropriate, and a lack of mentoring and educational support for new entrepreneurs (Holly, 2010).

The smooth operation of a national innovation system depends, among other factors, on wider dissemination of knowledge generated by universities and research institutes in a way that maximizes their positive developmental impact.

The general ability of industry to access knowledge from these institutes is very important. In fact, the quality of the public research infrastructure and its links to industry may be one of the most important national assets for supporting innovation.

04/19/2


29 MARCH 2012

RESEARCH OBJECTIVESThe general objective of the study is to determine the impact of intellectual

property regimes, including commercialization laws and the policies from which they are derived, on the economic and social benefits of publicly funded research.

The specific objectives are:

1. To document and assess the legal and regulatory framework for commercializing IP generated from public research fund in the universities research institutions and industry in Botswana.

2. To analyse the type and magnitude of researches, patenting and licensing activities of the universities, research institutions and industry from publicly funded researches, and the level of university-industry partnership in the selected countries.

3. To document and analyse the effect of IP environments and research practices on the sharing of economic and social benefits accruing from publicly-funded researches, their translation into economic and social benefits and how these benefits affect innovation, increased productivity, greater wealth, enhanced environment and improved quality of life.

4. To identify areas that demand policy actions and human resource development in the IP policy and governance arena.

04/19/2


29 MARCH 2012

METHODOLOGY & DESIGNCoverage: The study covered universities, research institutions, some

industries, key ministries-Education, Trade and Industry in Botswana.

Target population: The study was directed primarily at : researchers from universities, research institutions and industry who

receive public funds for research, and Offices of Research and Development in the various institutions;

Key informant persons comprising policy makers (members of parliament, councillors, and village development committee members), heads of institutions, directors of research and development in the institutions, heads of IP units, some members of the

judiciary were also be targeted.

Sample size determination: The Creative Survey Systems (2010), a sample size calculator, was used to determine an appropriate sample size with 95% confidence (allowing a 5% margin of error) that responses from the sample will be the same as that of the whole population. The calculator shows that for a population of 2000, the statistically desirable sample size will be 323. However, because of budget constraints, the sample size was reduced to 60% of the 323 (n=194).

04/19/2


29 MARCH 2012

Methodology contd.Sampling Design: The population was stratified by universities, research institution/centres

and industry/parastatals involved in researches that are publicly funded. The statistically determined sample was allocated to the different strata using probability proportional to size (PPS), where the size was the number of researchers in the given university, research institution/centre or industry/parastatals involved in publicly funded research. This procedure gives a better representative sample of the population than the simple random sampling method.

Instruments for the study: The data collection tool employed in this study was the questionnaire

Questionnaire: The questionnaire contained information on the demographic characteristics of the researchers researchers’ knowledge of the legal and regulatory framework for commercializing IP in their

respective institutions and country; the nature or type of researches they are involved in; sources of funding; their link with the industries; level of innovativeness of the researchers; number and type of IPR; the patenting and licensing activities of the universities and research centres; knowledge of existing commercialisation laws on the measurement and social returns of publicly

financial researches; social and economic benefits derived from commercialisation and socialisation of IP; awareness, knowledge and utilization of IPR; areas of IP that in their opinions demand policy

actions and training/human resource development; impact of IPR and particularly patent on access to information for research and innovation.

04/19/2


29 MARCH 2012

Methodology contd.Data Collection: Trained research assistants administered to the questionnaire on the

researchers. They explained to the participants the purpose of the study, and assured them of

confidentiality of information provided, and informed them that there will be no monetary

compensation for participating. Furthermore the participants were informed that they can bow

out of the study at any time they desired to do so without jeopardizing the survey. For those

who accepted to participate they signed a consent form and proceeded on the interview. In

some cases where the respondents had no time to sit with the research assistants, the

questionnaires were given to the respondents (self-administered) to complete, after explaining

the purpose of the study and observing all other ethical principles. The respondent and the

research assistant agreed on time to call back and collect the completed questionnaire. The

response rate was 90.7% (176 researchers responded)

04/19/2


29 MARCH 2012

ANALYSIS OF DATA

Out of the anticipated 192 interviews, only 176 respondents completed the questionnaires giving a response rate of approximately 92%.

The data collected from the universities, research institutes, industrial establishments and other stakeholders were analysed qualitatively to indicate how IP relates with factors that boost generation of values from publicly funded research. It used descriptive measures such as percentages, means and graphical representations.

04/19/2


29 MARCH 2012

Demog

raphic

char

acte

risti

cs o

f

rese

arch

ers

01

04/19/2


29 MARCH 2012

90% are aware they can use copyrights to protect their IP

78% aware of use of patent

80% aware they can use trademarks

04/19/2


29 MARCH 2012

AWARENESS, KNOWLEDGE AND USE OF IPR TO PROTECT OUTPUT OF RESEARCH FROM BEING USED, SOLD OR COPIED

78% know how to use copyright

66% know how to use patent

67% know to use trademarks

50% know how to use industrial designs

04/19/2


29 MARCH 2012

KNOWLEDGE OF HOW TO USE IPR

59% indicate they have used copyright

32% --used patent

32% --used trademarks

30% -used geographical indications

04/19/2


29 MARCH 2012

USED IPR

The researchers’ responses show lack of knowledge of the prevailing IP conditions in their various institutions

Only 56% of the researchers know that their institutions have IP policy

Majority of the researchers do not know whether their policy is environmentally friendly; encourage innovation; whether policy spells out management criteria; clarify ownership of IPR

04/19/2


29 MARCH 2012

POLICY AND REGULATORY FRAMEWORK FOR IP IN INSTITUTIONS

Between 51% and 57% did not know whether the institutional IP policy has provision :

to track the research projects that are publicly funded (54%),

review IP and associated commercial activities and outcomes (57%),

clarify staff responsibilities in relation to IP, including prevention of premature public disclosure of research results prior to obtaining IP (53%).

04/19/2


29 MARCH 2012

HOW DO THE STRATEGIC INTELLECTUAL PROPERTY POLICY OF YOUR INSTITUTION IMPACT ON YOUR CUMULATIVE KNOWLEDGE DISSEMINATION?

Majority of the researchers do not know:

that Knowledge Transfer Offices (KTO) are financially supported by several funding sources including public authorities (64%);

that the policy requires organisations receiving public funds to comply with any national interest policy (61%);

that the policy grants the public free and unrestricted access to cultural works supported by public funds and publicly funded collections and activities (56%);

grant the public free and unrestricted access to government collected data (56%) ;

grant the public free and unrestricted access to output of publicly funded research (54%).

04/19/2


29 MARCH 2012

IMPACT OF IP POLICY ON THEIR CUMULATIVE KNOWLEDGE UTILIZATION

70% the researchers do not know that the IP policy assigns PROs ownership of results and first right to inventions.

64% of researchers do not know whether their institutional IP policies make provisions for conducting surveys to see how many of the publicly funded researches produce patents and commercial outcomes,

define the way in which benefits from the development and exploitation of the IP will be allowed (61%) or

outline whether they will claim any ownership or associated rights to IP from publicly funded research including research conducted by postgraduate students (60%)

04/19/2


29 MARCH 2012

IMPACT OF IP POLICY ON COMMERCIALIZATION OF RESEARCH OUTPUT

Researchers hardly know the key issues embodied in the IP policy.

For instance, while 13% of the researchers know that the policy defines appropriate tax incentives to innovators on IP generated from their inventions and processes, 80% of them do not know this;

78% do not know that the policy emphasizes that KTOs be financially supported by several funding sources including public authorities. Similarly,

74% of them do not know that the policy assigns PROs ownership of research results and first right to invention.

04/19/2


29 MARCH 2012

RESEARCHERS’ KNOWLEDGE/UNDERSTANDING OF KEY ISSUES IN BOTSWANA INTELLECTUAL PROPERTY POLICY

Mainly applied research (56%)

Literature review/desk review (48%)

Basic Research (45%)

04/19/2


29 MARCH 2012

TYPE OF RESEARCH CONDUCTED

04/19/2


29 MARCH 2012

RESEARCH STATUS

Majority (45.4%) indicate that it is medium

29.3% stated that it is high

04/19/2


29 MARCH 2012

LEVEL OF INSTITUTIONAL INVOLVEMENT IN RESEARCH

A total of 248 journal articles,

154 published conference papers,

239 conference/ seminar presentations

21 monographs,

77 book chapters and

14 books

04/19/2


29 MARCH 2012

AVERAGE YEARLY RESEARCH OUTPUT FOR THE PAST 5 YEARS

Quality of the research base was rated high (80%),

Innovation (ideas and processes) (65%),

Availability of companies willing and able to take up the results of research (61%),

Openness in sharing information from research (57%),

The strength of links between the industry and research base (56%) and

Maintenance of science and technology skills (56%), are rated high

04/19/2


29 MARCH 2012

IMPORTANCE OF IP ENVIRONMENTS AND RESEARCH PRACTICES IN COMMERCIALIZATION OF RESEARCH OUTPUT

Most highly rated factors are:

Creating the right academic environment (76%),

Innovation (66%),

openness in sharing information from research (58%),

Increasing the amount of fund allocated to research (54%), and

Increase in the amount available for commercialization of research and

Technology innovation (45%).

04/19/2


29 MARCH 2012

IMPORTANCE OF IP FACTORS IN BOOSTING GENERATION OF VALUE FROM PUBLICLY FUNDED RESEARCH

The increase in stock of useful knowledge which is available for firms and other users (75%).

Production of skilled graduates and researchers (65%).

Enhancement of capacity for scientific and technology problem solving (57%)

Provision of social knowledge (53%),

Improved quality of life (43%),

Development of networks and stimulation of social interactions (43%) and

Rise in living standards (38%) were other important benefits.

04/19/2


29 MARCH 2012

BENEFITS THAT ACCRUE FROM PUBLICLY FUNDED RESEARCH: TO ECONOMY & SOCIETY

84% of them think that their organizations/institutions should notify funding bodies of any identified, valuable inventions that have been created using public funds;

Establish and intellectual property management infrastructure (82%),

Provide an enabling work environment where the employees’ work arrangements and responsibilities do not act as a disincentive to commercialize IP from innovations (78%).

04/19/2


29 MARCH 2012

PRINCIPAL ROLES OF INSTITUTIONS AND ORGANIZATIONS IN HARNESSING BENEFITS FROM PUBLICLY FUNDED RESEARCH

20% of them stated that it should be made adequate enough.

Making the policies known to the researchers and disseminating them throughout the academic bodies,

institution of protective legislation to the IP rights, particularly to the researchers (8%),

04/19/2


29 MARCH 2012

IMPROVEMENTS ON IP POLICIES TO ENHANCE BENEFITS FROM PUBLICLY FUNDED RESEARCH

MAJOR FINDINGS Between 51% and 90% are aware of the use of various IP procedures to protect their IP

Knowledge of usage is quite low (50%-78%)

Usage of IP is very low (below 59%)

The researchers’ responses show lack of knowledge of the prevailing IP conditions in their various institutions

Very little knowledge of impact of existing IP policy on cumulative knowledge dissemination (below 45%)

Very little knowledge of impact of existing IP policy on cumulative knowledge utilization (below 49%)

Researchers hardly know the key issues embodied in the national IP policy (below 37%)

In terms of the role of IP environments and research practices in the commercialization of research output, quality of the research base was rated high (80%), Innovation was related low (ideas and processes) (65%),

openness in sharing information from research (58%),

04/19/2


29 MARCH 2012

MAJOR FINDINGS CONTD.

In terms of the importance of IP factors in boosting generation of value from publicly funded research, the most highly rated factors are:

Creating the right academic environment (76%), Innovation (66%), openness in sharing information from research (58%),

Major benefits from public funded research identified (economic and social) were:

The increase in stock of useful knowledge which is available for firms and other users (75%).

Production of skilled graduates and researchers (65%).

04/19/2


29 MARCH 2012

SUMMARY AND POLICY IMPLICATIONS

The study has shown that all the institutions and industry have IP policies and over 80% of the respondents are fully aware of the existence of the policies but they lack knowledge of the content of the institutional and national IP policies and the level to which they address benefits that could be generated from IP derived from publicly funded research. This calls for Public Research Organizations (PROs) to seriously consider taking a pro-active role in the innovation process by managing IPR arising from research results. This process requires establishing a clear mission, realistic objectives, appropriate resources and a dedicated professional transfer office. They should place priority on awareness creation of the existing IP policies and its contents among the researchers .

Public Research Organisations roles in research are to be measured in terms of attracting more students, retaining good scientists and enhancing access to additional research and development funding opportunities. They should be able to secure guaranteed levels of additional funding for research; and link up researchers to funding agencies

An enhanced creation of a right academic base, innovation and openness in sharing of information as key instruments are recommended if the boosting of the generation of value from IP from publicly funded research is to attained in Botswana’s research environment.

04/19/2


29 MARCH 2012

THANK YOU AND GOD BLESS YOUTHANK YOU AND GOD BLESS YOU

04/19/2


29 MARCH 2012

effect of the intellectual property (ip) regime on generating value from publicly funded research: a...

Documents