oecd report on sme innovation and intellectual asset management · 2011. 7. 14. · sme innovation...
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OECD report on SME Innovation and Intellectual Asset Management
Lucia CusmanoExecutive Secretary Working Party on SMEs and EntrepreneurshipOECD Centre for SMEs, Entrepreneurship & Local Development (CFE)
5th SessionTeam of Specialists on Intellectual Property
United Nations Economic Commission for EuropeGeneva, 7-8 July 2011
Rationale
• In the knowledge economy Intellectual Assets (IA) are key to competitiveness and growth
• Management of Intellectual assets (IA) critical for turning SMEs’ innovation potential into market value
• Intellectual Property Rights (IPRs) facilitate the creation of value
But…
Lack of information about SMEs’ practices in managing IA
SMEs’ evolving needs in rapidly changing markets
Impact of regulation on SMEs’ access and use of IPRs
Objectives
Explore in different sectoral and national contexts
• IA Management methods used by SMEs
• Types of innovation supported
• Effectiveness in IP regulatory framework in supporting SMEs’exploitation of innovative and creative capacity
- Analysis of IP landscape and recent reforms
- Obstacles and challenges to SMEs in different IP frameworks
Identify best practices and provide policy recommendations
Methodology (1)Sectoral focus: relevance of SMEs to innovation, IA management
as a strategic issue, variety of IPRs
• Australia: creative (publishing and film) and manufacturing (clean-tech);
• Italy: manufacturing and crafts (design-based and equipment manufacturing);
• Nordic region (Denmark, Finland Iceland, Norway and Sweden): creative (film production, design);
• United Kingdom: knowledge intensive business services and manufacturing (ICT);
• United States: knowledge intensive business services (including R&D) and manufacturing (biomedical devices and ICT).
Methodology (2)
Research method
• Analysis of IP regulation
• IP expert interviews
• In-depth case studies of SMEs
• SMEs survey (Nordic countries , UK and US)
IP Regulation landscape (1)Reforms in the IP regulatory framework are under way across all countries…
and some reforms are expected to have implications for SMEs
Examples
Australia: Innovation Patent System
• Lower inventive threshold than standard patent, formalities check rather than examination, 1 month for filing, 8 years max. protection period
• Supposed to stimulate innovation among SMEs, however
» larger companies using to broaden their competitive position
» goes against international trends to standardize and tighten patent processes
IP Regulation landscape (2)
Italy
New IP Code (since 2005)
Rationalisation: substituting previous about 40 laws
Focus on “quality” in application: bilateral agreement with EPO for patent search service
IP litigation specialised sections in Courts
Increase the level of expertise in the judiciary system
International Network of IPR desks (Pilot)
In strategic areas for Italian export
Information and assistance for registering and enforcing IP
IP Regulation landscape (3)
Nordic countries
Historically, cooperation in regulation and policy development, however, increasing differences related with EU membership
IP enforcement: alternative administrative dispute mechanisms (Denmark)
United Kingdom
Set up of Patents County Court (1989) and simplification of litigation procedures
Patent Opinion Service (2005) to assess in advance patentability or potential infringement
IP Regulation landscape (4)
United States
US IP ‘Czar’ appointed in 2009 (first White House Intellectual Property Enforcement Coordinator)
Patent reform Act in 2011: from first to invent to first to file principle; fee reduction for micro firms
Accelerated examination process (for specific inventor’s categories or sectors, i.e. green industries)
Ombudsman Pilot Program: senior examiner supporting the examination process, when unresolved issues
SME IA Management Practices (1)
SMEs use strategic methods (secrecy, trust) and confidentiality agreements rather than formal IPR
Use of IPR differ widely across industries
High tech: patent intensity similar or greater than large firms (US)
Clean tech: patents as the main assets on which financing and commercial strategies are built (Australia)
ICT: decreasing relevance of patents (new innovation modes) (UK)
Creative industries: trademarks, patents and and copyrights (Nordic countries)
Design-based manufacturing: secrecy, rapid innovation cycles, trademarks (Italy)
Broad range of objectives: o Protecting
o Accessing knowledge markets to
Trade (source of revenue)
Collaborate
o Signalling to investors (e.g. venture capital, asset based lending)
o Opening up and segmenting markets
SME IA Management Practices (2)
Obstacles and Challenges (1)‘Internal’
SMEs lack awareness and a coherent IPR strategy (ad hoc approach)
Lack of knowledge and inadequate management practices hamper SMEs full participation in the IP system
• Lack of resources dedicated to IP, lack of use of available expertise
• Lack of understanding of how IP can be exploited for competitiveadvantage, for both formal and informal methods
• Inability to consider assets as a portfolio
• Focus on patents ignores leverage obtained from other methods (problem especially in creative industries)
Obstacles and Challenges (2)‘External’
The IPR system is not ‘SME-friendly’ (cost, time, complexity)Time more relevant than cost
Costs that are more relevant are those for accessing support services (e.g. Legal, consultancy)
The greatest challenges are faced in the stages of IP monitoring, litigation and enforcement
Lack of confidence in enforcement discourages application
Using IPR when operating internationally is especially troublesome
Information, knowledge, expertise to handle cross-border transactions
Differences across systems
Highly difficult enforcement
Digitalisation poses new challenges to the IPR system
Policy recommendations (1)
Awareness and knowledge
Raise awareness about the strategic opportunities offered by IPRs
Diffuse knowledge about the variety of IP instruments and the strategic objectives they serve
Foster IP education and training, bringing services and expertise closer to SMEs
Target professionals that typically work with SMEs (accountants, lawyers, engineers, architects, designers, etc.)
Training based on sound assessment of target SME population
Engagement of SME representatives and associations
Policy recommendations (2)
Access and use
Address SME financial constraints in the access to IPR
Supporting ‘first time’ access
Combining funding measures with consultancy support (e.g. ‘IP Angel’)
Make the IPR system overall more ‘SME-friendly’Streamlining procedures and reducing time
Adequately structuring fees and costs
o Balance between incentives to access and discouraging frivolous or low-quality filing)
Improving litigation and enforcement mechanisms
o Improve quality of applications, insert expertise in the system,explore alternative dispute mechanisms (e.g. Monitoring and mediation services at specific events/programs)
Policy recommendations (3)
Internationalisation
Improve cross-border information, coordination and enforcement
Regional arrangements
Simplification and harmonisation on semi-formal protection mechanisms (i.e. contracts)
Information and support to SMEs internationalising, particularly in the enforcement stage
Monitoring and assessment
Improve the metrics for measuring SME IA and IPRs use (beyond patents and financial flows)
Areas for further studyAssessment of ongoing reforms and SME-friendly initiatives (mainly at small scale or pilot stage)
Evaluation of policies and programmes to strengthen SMEs’ IPRs enforcement across borders
Analysis of new modes of innovation in SME dominated industries in which business models are largely based on intangibles and collaborative, open modes of knowledge development