sou · GUB380 · 2007-01-01 00:00:00 — Since this patenting, in turn, tends to increase when growth increases, the general and specific recommendations are intimately related to each other. A number of common principles also underlie these recommendations. An economy that increasingly evolves in the direction of being ever more knowledge-based, IP-oriented and globalized creates greater and different opportunities, but also problems of control. These in turn require changes of roles for, and interplay between, the state and the business sector in order to achieve high goals of growth and welfare. economy has several good possibilities for developing favorably toward an increasingly knowledge-based economy through good knowledge resources in the form of good education and high R&D intensity, highly diversified and internationalized industry, and so on – but also through good access to natural reso- urces per capita, which is lacking in economies such as those of and South . To take better advantage of these possibi- lities, for example, in the form of synergies between knowledge re- sources and natural resources, a national culture for IP and busi- ness development, including entrepreneurship, should be built up and strengthened in diverse ways. Here, focusing on patent and IP issues is no end in itself. On the other hand, such a focus is instru- mental for creating more economically efficient innovative activity in business and government, similarly to how focusing on quality issues and lead times was previously instrumental for broader aims in the business sectors vitalization and transformation. The Swedish entrepreneurial system, including the Swedish in- novation system, should be strengthened by reinforcing both state (public) and private entrepreneurship. That the state directly acts as an entrepreneur, and does not just indirectly promote entrepre- neurship, illustrates a changed role in a changed economy. This role is especially strong in a small country with a large and important technology-based service sector, which to a great extent is public. This sector is heterogeneous and includes the university and col- lege sectors, the and energy sectors, the financial sector, the defense and security sector, the and health sector, and others. These technology-based service sectors have considerable innovation potential and business opportunities. Their patent and IP orientation is in general weakly developed, however. Private entrepreneurship should be strengthened in various ways. The innovation-based entrepreneurship in small and me- dium-sized companies needs to be made stronger, as does the will and ability of Swedish large companies to create new business areas and radical innovations – activities beyond merely renewing their existing business areas, which has historically been a strength for these companies. Further, collaboration between the innovation activities in Swedish large and small companies needs to be main- tained and strengthened. A divergence between technology-based new firms and large firms can be feared, for instance, as well as a thinning in other respects of the domestic network of buyer/ seller relations. Moreover, regional entrepreneurship should be strength- ened by taking better advantage of the growth opportunities in already strong, entrepreneurial regions and along geographical axes of growth. Finally, economic competence should be raised in the Swedish entrepreneurial system, just as the Swedish appropriation of growth should be increased. For example, growth is created in the R&D sector (which is a service sector) at the same time as tech- nology sales of licenses and shares in R&D companies occur to foreign buyers and manufacturing abroad does not generate other domestic growth to a sufficiently great extent. It is not credible that a knowledge-based economy in international competition can be based merely on a dominant R&D service sector. A number of general recommendations for the IP sector can then be formulated, such as continuing to work for (a) Nordic collaboration; (b) English as the language for business, patents and IP; (c) further implementation and development of the interna- tional patent system in differing old and new respects, for example, regarding international harmonization and rationalization, devel- opment of the PCT system and the enforcement system – as well as change in patentability judgment, mainly in the form of raising the requirement of inventiveness and reformulating the require- ment of technical character; and (d) offensive transformation of the PRV toward greater internationalization, diversifycation and rationalization. In this context, a change of law is proposed so that patent applications to PRV are allowed to be written in English without requiring later translation (in other words, accepting the Protocol without requiring its full ratifycation throughout Europe). The PRV should also test the issuing of non-binding ex- aminations of validity and infringement, according to the British model. A final recommendation, due to the future importance and gene- ric character of these questions, is the creation of an interministe- rial , directly under the Prime Ministers office. , clear support from leaders in the business sector and in government is of decisive significance for implementation of the above recommendations. IV.2 Special recommendations for increasing patent awareness, insight and propensity to patent A basket of specific recommendations has been designed, partly in order to increase companies understanding and insight in patent economics, and partly to increase their possibilities and will to pa- tent. Greater understanding of patent economics can be assumed to increase patenting propensity, which in turn increases the patenting frequency, all things being equal. The patenting frequency, ho- wever, is influenced by a number of additional factors within and beyond both the companies and the states control, factors which also have been basic to structuring the recommendations. Understanding patent economics involves some fundamental difficulties. Patent issues are complex and interdisciplinary, with many interwoven economic, legal and technical aspects. The costs and earnings are long-term and therefore of investment character, while the patent costs are much clearer than the patent earnings. In addition, patent earnings have such a highly skewed distribution that the simple counting of patents is often misleading. A number of primary deficiencies in the patenting competence of Swedish companies were also reported, such as deficient competence in bu- siness strategy and business economics, with consequent deficien- cies of integration and interplay between business strategies and IP strategies in companies. Additionally, there is a widespread lack of basic patent awareness within the business sector, especially in SMFs, as well as in the academic and the political spheres. The problems of raising awareness and understanding of patents and patent economics are neither new nor solely Swedish, but have been accentuated by the pro-patent trend, which has led to efforts of different kinds in different countries. Experiences indicate that patent disputes, large awards of damages, and aggressive patent be- haviors of competitors have great importance for raising patent awareness and patent understanding – as do good examples of new business opportunities and national studies with competitor com- parisons (benchmarking studies). State and/or state-supported programs and efforts for advice and support can play a great role here, e.g. to reduce expensive learning within companies. A number of state-supported programs and measures, partly for increased patent awareness and patent advice, and partly to increase patent understanding, are proposed. A series of programs, cam- paigns, prizes, studies, and media efforts for greater awareness (awareness programs) should be specified, purchased, conducted and evaluated through the , Employment and Communications. These programs should be coupled with pro- grams and efforts for business development, innovations and entre- preneurship in general. They should also be coupled with patent- advice efforts in the form of subsidized but qualified advice, and subsidized application fees for first- and second-time applicants within a five-year period. A number of positions, corresponding to 15–20 full-time positions at first, should be established for IP and business development, and placed at national competence centers, including the PRV, and regional development centers. A system for quality that sufficient patent and license competence is available in state-supported R&D programs and R&D collabora- tion should also be designed. The overall responsibility for these measures should rest upon the , Employment and Communications, in co-operation with other ministries which are involved. The Mi- nistry of Industry, Employment and Communications should be strengthened in this regard, especially with competence in patent, IP and innovation economics. The measures proposed to increase understanding of patents and patent economics – although once again in a wider context of busi- ness development and entrepreneurship – are to establish 3–4 na- tional competence centers for education, advice and research; 3–4 new professorships in IP and innovation economics with responsi- bility for teacher and postgraduate education; diverse specialized and differentiated programs for technologists, economics and lawyers; obligatory conscript education in patent economics (including licensing economics), patent law and patent technology in the university and college education, and in all education for en- trepreneurship, innovation issues and the like; and financial sup- port to companies internal and further education in IP, including support for IP executive training and IP trainees. Moreover, two concentrated educational efforts should be carried out as soon as possible: one to cover an educational need for the IP advisers men- tioned above, and one to educate patent specialists for certification as European Patent Attorneys – a category of specialists in which has a serious and increasing shortage. All of these educa- tional efforts should be quality-assured, and a certification system for IP specialists should be developed in addition to certification of European Patent Attorneys. The overall responsibility for these measures should rest upon the , Research and Culture in close co-ope- ration with the , Employment and Communi- cations. The direct measures proposed to increase companies possibili- ties and will to patent comprise, besides the above measures, also giving special state support for investments in patents and patent education coupled to other state support for R&D; giving special stimulation to employment of internal patent and IP specialists; supplementing companies own stimulation measures with special reward systems; supporting the design of guidelines for company boards and business managers handling of patents and IP; and a number of specially directed efforts, particularly to technology-ba- sed service sectors with a large public part. Special inquiries into issues of business development and IP within the military and me- dical sectors should be carried out, for instance to judge potential and forms of technology procurement and technology trade. For those measures above which can be coupled to other current state measures for supporting and increasing the R&D resources in the Swedish R&D system, an ear-marking should be done in the form of a goal for costs of patent and IPR work as a share of the R&D costs, with variations of ±1 % depending on the sector and type of company. Also proposed are better financing opportunities for invest- ments in patents in SMFs, especially in early phases, where leverage can be obtained for financing via private risk capital. For this pur- pose, the proposals are special patent loans with advantageous con- ditions, reduced fees for first- and second-time priority applica- tions to PRV, the possibility of faster, prioritized handling by PRV, and stronger advisory assistance, including language assi- stance. This requires a change in the PRVs rules and operating di- rectives. In other respects, methods for IP evaluation need to be impro- ved and quality-assured, not least in connection with the utilization of new accounting rules for immaterial assets, that is, IP. At the same time, there is a need to increase the Swedish damages for pa- tent and IP infringement and to improve the grounds for calcula- ting damages. A review of these matters together with tax issues that bear upon patents and the licensing trade should be made. Likewise, a review of the patent systems regulations, including rules for the area of patentable inventions, needs to be performed and coordinated with corresponding work in the EU. In good time, before a review of rules within the EU, which ho- pefully will come soon, preparations should be made for a widening of the patentable area through a reformulation of the requirement of technical character – in order to take better account of the need to balance and coordinate investments in innovation in general, and thereby also investments in innovation within the service sector. Regardless of how this requirement is formulated, a raising of the requirement of inventiveness should take place. Finally, it is proposed that there be an increased use of patent information and patent analyses for design of patent policies and their coupling to policies of R&D, innovation and growth. Exam- ples of important areas in this respect are nanotechnology and bio- health technology. IV.3 Summary of the recommendations A short summary of the commissions recommendations is given below. 1.Change the roles of, and the interplay between, state and indu- stry in an economy which is ever more knowledge-based, more internationalized, and more IP-oriented 2.Build up a national culture for IP and business development/ entrepreneurship 3.Strengthen the Swedish entrepreneur system by 3.1Strengthening state (public) entrepreneurship, especially within the technology-based service sector, and in particu- lar the university and college sector (university entrepre- neurship) the and energy sector the defense and security sector the and health sector 3.2Strengthening the innovation-based entrepreneurship in small and medium-sized firms (SMFs), with adaptation to the conditions for SMFs outside the seats of universities and colleges SMFs connected with universities and colleges 3.3Safeguarding Swedish large companies will and ability to create new business areas in addition to renewing the exis- ting ones 3.4Strengthening the collaboration between innovation ef- forts in Swedish large and small companies 3.5Strengthening the regional entrepreneurship 3.6Raising the economic competence in the Swedish entre- preneur system and refining its financial support institu- tions 4.Safeguard the Swedish growth appropriation 5.Strengthen the Nordic cooperation within the IP sector and in business development 6.Promote English as an international language parallel with Swedish 7.Strive for greater effectiveness of the international patent sy- stem, especially regarding Harmonization of the international patent system Rationalization of the international system of patent offices Support for development of the PCT system Support for development of a unified patent system in Europe Support for development of a unified European court system specialized in patent cases The assessment of patentability in some respects, na- mely Raising the inventive step requirement Reformulating the requirement of technical charac- ter and supplementing it with economically and ethically motivated requirements Developing economic principles for patenting therapeutic methods within an ethical framework 8.Transform the Swedish Patent and Trademark Office (PRV) offensively towards internationalization, diversification and ra- tionalization. PRV should thereby be commissioned to investi- gate the legal situation and need of legislation and changed in- structions in order that: a.PRV can handle applications in English without re- quiring translation into Swedish b.PRV can use price differentiation and subsidy of application costs in line with the present inquirys recommendations c.PRV can make non-binding assessments of validity and infringement according to the British model d.The requirement of technical character can be re- placed by a reformulated interpretation of the con- cepts industrially applicable and investment character. 9.Create an interministerial tion policies at the highest political level. IV.3.2 Special recommendations to increase understanding, insight and propensity with regard to patenting 1.Raise the awareness of patents and the contribution of advice. 1.1Raise awareness of patents by Conducting state-supported programs for raising IP awareness (IP-awareness programs) Carrying out a special patent year Establishing competitions and prizes Procuring broad national studies and inquiries which also in themselves yield increased awareness of patenting Providing media support for IP-oriented publica- tion Carrying out special program measures directed to under-aware company types and sectors Establishing and locating about 15–20 positions for advisers in IP and business development Coordinating the efforts with EU efforts Ensuring patent and license competence for con- tract agreements and promoting Swedish jurisdic- tion 2.Improve the understanding of patents by up education in IP and innovation econo- mics by means of: Graduate and teacher education Obligatory minimum education (conscript tra- ining) Procurement of teaching aids and information material Specialist education for EPO certification Education of IP advisers and IP managers Establishing 3–4 national competence centers for education, advice and research in IP and innovation economics Establishing 3–4 new professorships in IP and inno- vation economics, coupled to national competence centers Developing and introducing a certification system for IP competence 3.Stimulate companies possibilities and will to patent by Creating greater awareness of patents and under- standing of patent economics as specified above Introducing a special state patent-fund for invest- ments in patenting and patent education, coupled to other state R&D funding Giving special stimulation to employment of inter- nal patent specialists Supplementing companies internal stimulation measures and reward systems Supporting the design of guidelines for handling of patents and IP by company boards and business managers Carrying out specially focused measures Increasing the resources for R&D Improving the financing possibilities for patenting in SMFs, particularly during early innovation pha- ses Improving the patent economy in cases of dispute Striving to expand the area of patentable inventions in the long run Integrating patenting policies with general , innovation and growth policies, for example through better utilization of patent information Earmarking ± of state R&D for patent and IPR efforts Utredningens uppdrag, bakgrund, referensram, uppläggning och metod Kapitel 1: Uppdraget Kapitel 2: Inledning Kapitel 3: Uppdragets referensram, uppläggning och metod Regeringen beslutade att tillkalla en särskild utre- dare för att göra en översyn av de ekonomiska aspekterna av pa- tentering för företags tillväxt i , och . Enligt direktivet (Dir. 2004:55) är patentskyddet av mycket stor betydelse för företagande och tillväxt. Utredaren skall enligt direktivet göra en analys av hur de skyddade intellektuella kapitalen kan bidra till export och handel. Utredningen skall inhämta synpunkter från både näringsliv och andra aktörer. Utredningen skall omfatta en analys av hur svenska företag han- terar patentering som konkurrensmedel i jämförelse med företag i andra länder i och den övriga världen, samt hur den fördelar sig på företag av olika storlek. Här skall även den senaste utveck- lingen inom EU-området vägas in. Studien skall även innefatta en nordisk jämförelse och skall identifiera problem och möjligheter på den nordiska patentmarknaden. leda fram till förslag som kan skapa förståelse och insikt hos främst de små kunskapsintensiva företagen om de ekono- miska vinsterna – och kostnaderna – med patentering, leda fram till förslag om hur kunskapsintensiva företag kan stimuleras till att i ökad utsträckning patentera sina innova- tioner, belysa sambandet mellan patentering och ekonomisk tillväxt, innehålla en analys av nedgången av patenteringsfrekvensen i och de viktigaste orsakerna till denna. Direktivet som helhet framgår av bilaga 1. Tiden för redovisning flyttades genom tilläggsdirektiv fram till , bilaga 2. Utredaren förordnades varvid utredningsarbetet startade. En refe- rensram utarbetades tidigt i utredningen för en första belysning av sambandet mellan patentering och ekonomisk tillväxt, se kapitel 3. Denna referensram grundades på tidigare studier med anknytning till ämnet för utredningen samt litteratur och teori i anslutning därtill. Referensramen låg sedan till grund för utformning av ett antal empiriska delstudier, som beskrivs närmare i kapitel 3. Arbetet har bedrivits genom överläggningar inom en tillkallad expertkommitté, vilken konstituerades . Denna kommitté har sammanträtt under utredningens gång, se bilaga 4. Tre hearings med inbjudna företrädare för näringsliv, in- tresseorganisationer och myndigheter har vidare hållits, se bilaga 5. Därutöver har ett antal intervjuer med olika nyckelpersoner ge- nomförts, främst i perioden – , se bilaga 7. Detta arbete låg sedan till grund för närmare utformning av delstu- dier och frågeformulär av olika slag. Delstudierna påbörjades och pågick till . En studieresa i Gnosjö-regio- nen med företagsbesök, intervjuer och en hearing gjordes . Utredaren och en projektassistent har fortlöpande under ut- redningen deltagit i ett antal konferenser, se bilaga 6. Ett tiotal assi- stenter, huvudsakligen civilingenjörer, ekonomer och teknologer från olika länder (6 st.) har varit involverade i genomförandet av olika delstudier och därvid tillsammans med utredaren bildat en projektgrupp. Utredningsarbetet inriktades från början på att ta fram en utred- ningsrapport tillsammans med ett antal bakgrundsrapporter, samt- liga på engelska. Engelska valdes som utredningsspråk internt för att möjliggöra enkel kommunikation internt i projektgruppen samt externt med bl.a. utländska forskare och analytiker och relaterade utredningsarbeten, främst i , och . Därtill beak- tades att de flesta multinationella företag verksamma i har engelska som koncernspråk. Ett antal promemorior och bakgrundsrapporter har utarbetats av projektarbetsgruppen och flera av kommittéledamöterna, se bilaga 12, 13 och 15. Allmänt tillgänglig statistik har slutligen samlats in och patentstatistik i olika databaser har utnyttjats. Genom diskus- sioner med flera ekonometriker stod det dock tidigt klart att det med stor sannolikhet inte skulle visa sig meningsfullt att försöka på ekonometrisk väg identifiera kausalsamband mellan patentering och tillväxt genom tidsserieanalys. Detta på grund av det stora an- talet mellanliggande och bakomliggande variabler och återkopp- lingar över tiden mellan dessa. En kronologi över uppdragets genomförandeprocess redovisas i bilaga 3. Uppdragets referensram, metodval och delstudiestruktur redovisas i kapitel 3. Utredningen antog namnet patent/tillväxt-utredningen med för- kortningen PEX. De fyra uppräknade uppgifterna i utredningens direktiv ovan har därvid förkortats PEX 1–4. Debatten och uppmärksamheten kring de sociala och politiska för- delarna med ekonomisk tillväxt, liksom dess orsaker, kostnader och begränsningar, har intensifierats i , och många andra delar av världen .