IP/C/W/ 699 
 
1 June 2023  
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Council for Trade -Related Aspects of  
Intellectual Property Rights  Original: English  
 
INTELLECTUAL PROPERTY  AND INNOVATION:  
RESEARCH COLLABORATION ACROSS BORDERS  
COMMUNICATION FROM AUSTRALIA; EUROPEAN UNION; HONG KONG, CHINA; JAPAN; 
SINGAPORE; SWITZERLAND; THE SEPARATE CUSTOMS TERRITORY OF TAIWAN, PENGHU,  
KINMEN AND MATSU ; THE UNITED KINGDOM AND THE UNITED STATES OF AMERICA   
 
_______________  
 
 
1  INTRODUCTION  
1.  Scientific research benefits immensely from international cooperation.1 The interaction between 
people of diverse backgrounds all over the world yields new ideas,  new solutions, and different ways 
of looking at the same problem. The need for certain scientific tools or databases can necessitate 
the involvement of international partners.2 Cooperation and collaboration can enhance the quality 
of science, avoid unnec essary duplication, provide economies of scale, and address issues that can 
only be solved by working together.3  
2.  International collaborative research involves cross -country teams that share research interests, 
conduct research, and promote research resul ts to advance knowledge.4 In 2010, the share of 
patents with a foreign co -inventor doubled over the prior three decades, from 10% to 20%.5 The 
share of scientific publications with an international co -author tripled during that same time period, 
from around 7% to 22%.6 The digital age , access to new technologies , and the  greater mobility of 
information, ideas, researchers, and scientists is  making international collaborations easier.7 
3.  International research collaboration can take place in a variety of forms – for example, between 
public institutions, such as governments,  universities, and international organizations, between 
private entities and public institutions, and between private entities.  
 
2  REASONS FOR INTERNATIONAL COLLABORATION  
4.  There are many reasons why an entity or team of researchers may wish to collaborate , including 
efficiency, similarity in the area of technology, and cost considerations . Dividing effort can be more 
efficient when tackling a similar area of technology.8 The complexity of the research may play a role; 
 
1 International Activities at NSF . National Science Foundation. 
https://www.nsf.gov/od/oise/IntlCollaborations/index.jsp  
2 Id. 
3 Global Research Council. https://globalresearchcouncil.org/about/global -research -council/  
4 Yao B. International Research Collaboration: Challenges and Opportunities. Journal of Diagnostic 
Medical Sonography. 2021;37(2):107 -108. doi:10.1177/8756479320976130.  
5 OECD (2013),  Regions and Innovation: Collaborating Across Borders , OECD Reviews of Regional 
Innovation, OECD Publishing. http://dx.doi.org/10.1787/9789264205307 -en  
6 Id. 
7 National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 2011. 
Examining Core Elements of International Research Collaboration: Summary of a Workshop. Washington, DC: 
The National Academies Press. https://doi.org/10.17226/13192 . 
8 Jennifer Dusdal, Justin J W Powell, Benefits, Motivations, and Challenges of International Collaborative 
Research: A Sociology of Science Case Stu dy, Science and Public Policy, Volume 48, Issue 2, April 2021, Pages 
235–245, https://doi.org/10.1093/scipol/scab010 .  IP/C/W/ 699 
 
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  in some cases, the advanced knowledge an d skills required for a particular field may necessitate 
collaboration.  Cost sharing is frequently cited as an important reason for collaboration .9 As the World 
Intellectual Property Organization notes, “[i] nvestments in research and development (R&D) - the 
cost of labs, instrumentation, testing equipment and technical specialists - can be substantial.  In 
some industries, such as those producing semiconductors or telecommunications equipment, the 
cost of a single R&D project can be beyond the reach of most  companies.  In more typical smaller -
scale R&D operations, effective facilities not only require lab equipment but also ancillary services 
such as administrative support, staff to maintain specialized equipment or hazardous materials and 
testing technicians . Collaborating with a party that has similar needs helps spread these costs. ”10  
5.  Small and medium sized enterprises (SMEs) , in particular, may seek to collaborate with another 
entity as they may have limited resources. This may include collaborating with another party that 
can offer capital, has a different set of expertise, can do some of the research and development, or 
can help license or bring products to market.11 SMEs may also seek out collaboration with 
government -funded academic institutions.12 Forming such collaborations allows smaller entities  to 
share development risk and undertake projects that might otherwise be considered too risky.13 
Intellectual property rights often form an important part of these agreements.   
6.  In certain sectors, like technology and life sciences,  it is common to collaborate with another 
party during certain stages of a project, such as invention, development, and commercialization.14 
An entity may seek out a partner to collaborate with who has more skills, expertise, or resources to 
address a particular phase of the project . 
 
3  INTELLECTUAL PROPERTY RIGHTS CONSIDERATIONS  
7.  With any collaboration, there are key issues that may need to be discussed between parties, 
from the  practical to contractual. In international collabo rations, issues that can arise include cultural 
differences and nuances ; legal issues particular to certain jurisdictions ; differences in ethical 
standards, research integrity  and conduct;  and risk management  issues .15 Another consideration is 
intellectual  property rights, or IPR. IPR aspects should be addressed before the collaboration begins, 
bearing in mind that IP regimes can be different in different territories.16  
8.  While some collaborating parties may think of IPR as the fruit of their collaboration, IPR are 
implicated throughout. In the case of a collaborative project, for example, there may be existing IP R 
owned by the participants, IP R owned by third parties, ownership of IPR in the project, use of the 
project IP R for internal purposes such as furth er research, and use of the project IP R for 
commercialization, such as selling products or services.17  
9.  IP protection and enforcement in each of the collaborating countries is essential to providing 
certainty when entering into a research agreement. Result s from research developments in countries 
with effective and balanced IP protections are better protected from copyright piracy, trademark 
counterfeiting, patent infringement, and trade secret theft, any of which can increase the risk to the 
research partn ers and discourage collaboration. The lack of IP protection can also lead to a loss of 
 
9 Wadsworth,  P., Brant, J., and Brown, P. (2021, June). Key IP considerations for smaller enterprises . 
World Intellectual Property Organization.  https://www.wipo.int/wipo_magazine/en/2021/02/article_0008.html  
10 Id. 
11 Id.  
12 Id. 
13 Lerner, J., and Lin, E. (2012, November). Collaboration in intellectual property: an overview . World 
Intellectual Property Organization.  https://www.wipo.int/wipo_magazine/en/2 012/06/article_0008.html  
14 Sumroy, R. (2021, Dec. 10).  Intellectual Property: Cross -Border Joint Ventures . Slaughter and May.  
https://my.sla ughterandmay.com/insights/briefings/intellectual -property -cross-border -joint-ventures . 
15 National Academy of Sciences, National Academy of Engineering, and Institute of Medicine. 2011. 
Examining Core Elements of International Research Collaboration: Summar y of a Workshop. Washington, DC: 
The National Academies Press. https://doi.org/10.17226/13192 . 
16 Glover, K. (1996). Intellectual property rights and international collaboration: A US perspective. 
Current Scien ce, 70(12), 1057 –1059. http://www.jstor.org/stable/24122256  
17 Australian Government Department of Education. “Developing IP Through Collaboration.” 
https://www.education.gov.au/hercip/higher -education -research -commercialisation -intellectual -property -
framework -practical -guide/4 -individual -pathways -guidance/4 -2-developing -ip-through -collaboration . IP/C/W/ 699 
 
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  royalties, licensing fees, and market share if the result of the research is commercialized .18 
Collaboration may be more attractive with a research partner in a country where IPR and its 
enforcement, as well as the enforcement of contractual obligations, is strong, to protect against use 
of IPR that is not in line with the terms of the research agreement.  
10.  Strong and efficient IP protections also incentivize investment, wh ich leads to more availability 
of resources for research and development.19 Increased investment in research and development 
leads to job creation for researchers and for businesses that may be generated as the result of the 
research.20 Those that invest in research are more likely to collaborate in countries where they know 
that the IP arising from that research will be protected.21  
11.  Ownership of IPR is determined by national law . Because c onsiderable differences exist between 
national IP laws and regulations, these differences should be taken into account prior to entering 
into a collaboration, as well as when drafting research agreements.22 For example, some research 
outputs may be patentable in one collaborating country but not in the other. In another example, 
some countries allow a 6 - or 12 -month grace period after the public disclosure of the invention 
during which it is still possible to apply for a patent,23 while others do not allow obtaining patent 
protection if a public disclosure has been made. Therefore, a collaborati ve research project between 
parties would have to take these differences into account, possibly by agreeing to delay any kind of 
publication or presentation until a patent application is filed in all desired jurisdictions.   
12.  Another consideration is what w ill happen if new IPR continue to be developed after the end of 
the project.  The research agreement should affirmatively state who has rights to IPR at the 
conclusion of the project and any further work that may occur once the project ends, including for 
how long and under what conditions. In addition, because the IPR involved in a collaboration may 
include t hird party rights, which should be  appropriately licensed in order to be used as part of the 
project , the collaborators should consider whether the lic ensing of the third -party rights extends to 
developments that occur after the project ends, or merely for the duration of the project or 
collaboration.  
 
4  GUIDING QUESTIONS FOR DISCUSSION  
13.  The following are questions for consideration by Members to aid in th e discussion. Members are 
free to share any national experiences that may be of interest, and are not limited to the guiding 
questions below.  
1) What are some of the international collaborations your country is involved in? For example, 
public -public, public -private, private -private?  
2) What are some of the reasons for these collaborations? Why or how did they arise?  
3) What are some of the benefits and challenges that have arisen as a result of these 
collaborations?  
4) How have parties participating in international collaborations handled IPR considerations 
with respect to the collaboration?  
5) Has your country seen more international collaboration as digital tools and technology 
have evolved?  
6) Real-world cases can often provide the most illustrative examples. Are there any examples 
or case studies of international collaboration that particularly stand out in your country?  
 
 
__________  
 
18 Glover, K. (1996). Intellectual property rights and international collaboration: A US perspective . 
Current Science, 70(12), 1057 –1059. http://www.jstor.org/stable/24122256  
19 Id. 
20 Id. 
21 Id. 
22 Adams, J., et al. (2002). Working Paper: Expert Group Report on Role and Strategic use of IPR 
(Intellectual Property Rights) in International Research Collaborations: Final Report. (European Commission). 
Office for Official Publications of the European Communities.  
23 Id.