- Email: [email protected]
The role of patent information in relation to transfer of technology
WorldPa!enrInformation, Printed in Great Britain.
\:ol.
3, NO. 3. pp. Ii9-
163, 1982.
0172-2190’X2~0~01~9-0.z50?.00 Pergamon International Informarlon
0 Corp.
1982 CEC‘ M’IPO
The Role of Patent Information to Transfer of Technology*
in Relation
G. Roberto Coaracy, Director of the Technological Documentation and Information Center of the Brazilian National Institute of Industrial Property
Summary
process of transfer of that technology - and the respective commercial transaction tend to perpetuate themselves, unless or until the recipient of the technology avails of, or acquires, technical capacity whereby he can evolve and keep up with technological progress, independently and autonomously.
After some general remarks about various aspects of transfer of technology to developing countries, the potential contributions thereto of patent documentation are enumerated. A recent survey shows that so far in Brazil only very little of this potential has been realized. Various ways in which the BJ ;:/ilian INPI is promoting the use of patent intormation are indicated.
Introduction. General Transfer open to from the number political, these.
Transfer
of technology discussions very simple of different social, or a
of Technology
On the other hand, it is also valid to suppose that transfer of technology may occur thrr\ugh technical information that is freely available, if not wholly, at least in part. This is mainly the case if the party demanding the technology is in possession of the needed technical qualifications. This would - if not eliminate at least considerably reduce the commercial transaction.
in
is a vast subject, complex and from many different angles, to the most elaborate, within a approaches: economic, legal, combination of all or some of
It could also be asked what are the motivations that lead a less developed society to demand for a specific technology. Does this demand stem out of actual felt needs, with a v,iew to effective, planned progress, to make up for authentic deficiencies that would justify the transfer sought? Or is it a demand inspired by a mere spirit of modernization, or imitation, independent of the economic and social dev.elopment called for on the assumption that what is good for one society is good for another one? Actually, what is good for a particular society is not necessarily good for another one. And, as a corollary, what is bad for one society is not necessarily so for a different one.
What, for instance, is actually meant by transfer of technology? Is it limited to a mechanism through which someone proposes to cede to someone else something he has created, teaching him how to do it, in return for a fee, as a mere commercial transaction of purchase and sale of technological knowledge? To the vast majority in the production sector, that is essentially what it consists of. From this point of view, transfer of technology acquires the connotation of technological trade.
Within this context, there are still a number o! speculations, which fit more truly into the sociological field. The technical and economic development of a particular society and hence the transfer of that development to another one - especially if the latrcr is less developed - may have far-reaching effects on social behavior, altering values and disrupting a number of traditions that comprise its cultural heritage and its own culture. In certain circumstances this may be a good thing. But it can also be harmf,tl, especially if the sole motivration for development and its transfer - is mere commercial interest. Thc\e are polemical topics of a political and philosophical nature and this is neither the place nor the time to discuss them. Moreover, they transcend the specific topic of these remarks.
Within this context, one may ask at what precise moment, in .: commercial transaction of this kind, can it be assured that a particular technology has actually been transferred. It may be said that, since technology in any area is a cumulative process in continuing evolution, transfer in a given area is likewise evolutional and cumulative. Hence the
*Based on a p-Der read during the Training Course on Patent Information. xanized by WIPO and the USSR Srate Committee for Invention, md Discoveries, with financial support of the United Nation3 Development Programme (UNDP), held in Moscow from June I7 to July 2, 1982.
159
160
G. Roberto
These points idea of the within which information which is the
are merely brought up to give a rough scope and amplitude of the problem, one has to place the role played by the contained in patent documentation subject of this paper.
To do so, one has to start from a more objective premise: transfer of technology is a process which contributes to technological development and the economic and social progress of the nations. However, for the less developed countries, the questions brought up in the introduction to this paper ought not to be overlooked. To the contrary, it would be good to keep them in mind. It should be emphasized, moreov’er, that no matter what process of transfer of technology is used or what are the motivations, that process will take effect only if the recipient of the technology has an infra-structure of support and sufficient technical training to receive, comprehend, absorb and adapt the technology. To speak specifically and objectively about the role of patent information vvithin this complex that comprises the process of transfer, certain hypotheses are raised based on the experience of Brazil, uhich consists, in relation to this specific topic, in the study of patent information users in Brazil.
Potential Transfer
of Patent Documentation of Technology
in
As patent applications and patents themselves cov’er the entire technological universe and as inventions generally derive from previous inventions, the collection of patent documents over the years, comprising the largest possible number of countries, makes up a considerable portion of the collective history of technological development of mankind in the modern era, as of the industrial revolution. This point should be kept in mind, because it is related to the analysis of technological information contained in patent documents. A single patent docno matter how recent it may be, on a ument, for an particular topic, is not always sufficient evaluation of the state of the art for conducting research or for an appraisal of technology that may be offered in relation to the same topic. There may be a need for a knowledge of the historic development of the respective technology, which can be obtained by a retrospective search of the patent documentation relating to the said field. It may therefore be concluded that a collection of patent documents as all-encompassing as possible in terms of time, space and technological fields, represents a tremendous potential for technological development, on account of the wealth of information it contains.
Coaracy As this patent documentation is stored in the various industrialized countries basically with the same structure, and as the various countries interchange documents amongst themselves, patent documentation taken as a whole is a literal international network of technological information that is to hand, open to consultation, ready for use. Then there is another aspect, of major importance, that should not be overlooked. It is estimated that in the developing countries having patent systems, 8O”o of the patents they grant are of foreign origin. Yet that 8OVo figure represents only 69’0 of the whole of the patents in force all over the world. As patents possess only territorial value, meaning that they are valid only in the country in which they were granted, and are in the public domain in other ones, this means that theoretically 94Y’o of the patents in force in the entire industrialized world are in the public domain in the developing countries, and may therefore be copied freely and legally. From what has been mentioned there can be no doubt ai to the extraordinary. potential represented by the information contained in patent documentation. But hovv can this potential be availed of to the benefit of the developing countries, mainly within the context of transfer of technology? If one takes as valid the supposition that the transfer of technology can take place through freely available technical information, as mentioned at the beginning of this paper, that means that patent documentation plays a basic role in the process. The patent laws of almost all countries establish that the description of the invention in a patent application should disclose it in such a manner that an expert in the art will be capable of reproducing it. Theoretically, then, the patent document should be by itself an element whereby transfer of technology would take place, provided the ones with a demand for the technology had the supporting infrastructure and the technical qualifications required. But this is not always the case. Quite to the contrary. It occurs only in a very fev+ instances perhaps v+ith simpler technologies. Not only does a patent document not disclose the knovv-how, but also, in certain cases, some critical datum may not be revealed with sufficient precision in the patent document. Hence copying an invpention purely and simply, through a patent document, is a difficult task, with doubtful results likely to occur. Patent
documentation
containing
information
on
the
Patent
Information
in Relation
state of the art in a particular field, and the progress in relation thereto may serve as a basis for new developments by research institutions or research and development departments of industries. Based on the background description of the evolution of a particular technology, a research worker checking the approaches adopted to reach the state of the art ma! seek out other approaches - possibly simpler ones - for arriving at the same result, or at results implying improvements over what already existed. In this context it should also be borne in mind that copying an invention does not permit Patenting of it by the one who copies, since the inventilln is a matter of public knowledge and does not comprise any novelty. Thus an invention copied, in a country in which it was not patented, can be worked only on a non-exclusive basis, which permits third-party competition and disputing of the market. On the other hand, relevant improvements to a product or process may be patented and worked on an exclusive basis, which means a reserlfed market. These are some considerations as to the ways in which documentation of patents in itself may comprise a form of technology transfer. In Brazil patent documentation used in the direction of research opments.
is beginning to be aimed at new devel-
to Transfer
of Technology
that ought
to be preserved.
Analysis of the patent documentation, moreover, indicate\ who is the original holder of the technology selected, permitting direct contact, without intermediaries, which may facilitate the negotiations and reduce the costs of purchasing technology. Whatever the process of technology transfer may be, however, it is desirable to emphasize once again that it will be effective only if the recipient country has a supporting structure and technical capacity to receive it, absorb it, adapt it and develop it. Summarizing, and bearing in mind the condition just patent documentation, due to its mentioned, potential, should play an important role in the process of transfer of technology: l
a
l
l l
Patent documentation may, however, play another role, connected with commercial negotiations for the purchase and sale of technology. Since patented technology is a negotiable economic ‘good’, patent documentation theoretically opens up the technological market. In other words, patent documentation affords technological alternatives for a particular development. Knowledge of the available technologies and their alternatives should provide the purchaser of technology with greater bargaining power, placing him in a better position to negotiate technology transfer contracts.
161
l
theoretically, by virtue of the information it contains, it is in itself an element of transfer of technology; by indicating the state of the art, it can serve as a basis for new developments or advances in technology; also theoretically, in the process of negotiation for purchase of technology, patent documentation may represent the opening up of the world technological market, affording alternatives to a particular area of development; the patent document shows to the eventual purchaser what he is actually buying; in a program of planned development, patent documentation may permit the selection of the technologies most suitable to a particular stage of development, taking into account the pre\,ailing cultural patterns; by indicating the holder and the creators of the technology, the patent document may facilitate direct negotiations, dispensing \vith intermediaries.
Perhaps some other aspects as well might be brought up. The points touched on here, ho\\c\,er, are an indication of the role that patent inf
In negotiating a patented technology, the purchaser by examining the respective patent document can actually see \ hat he is buying instead of negotiating a technology just on the information provided by the licenser, whi,h is so often the case, at least in Brazil.
The reality of the matter is somew,hat different, at least where Brazil is concerned, as we shall now see.
In a planned ,:conomic and social development program intendc,. to serve the real needs of development of a society or to make up for legitimate shortcomings, analysis of patent documentation may indicate which process best meets those needs in accordance with the stage of development of the particular society and, what is also important, without jeopardizing the cultural values and patterns
The Technological Documentation and Information Center (CEDIN) of the National Institute of Industrial Property (INPI) has just concluded a sur\.ey on the users of patent documentation, carried out jointly with the Brazilian Institute on Information in Science and Technology (IBICT), an agency connected with the National Council for Scientific and Technological Development (CNPq).
Use of Patent
Information
in Brazil
162
G. Roberto
The survey was carried out on a pilot basis which besides serving as an indicator of the deficiencies and possibilities of improving the patent information services of INPI, also fits in with the pilot project on users of patent information and their needs, within the framework of WIPO’s Permanent Committee on Patent Information (PCPI). The survey conducted in Brazil was made by means of questionnaires sent by mail to 490 different institutions and/or enterprises operating in the area of fossil coal and alcohol as alternative sources of energy. One trade association duplicated the questionnaire and sent it to its associates, so that the questionnaire actually got to be distributed to 621 institutions/enterprises. The 621 sample entities to which the questionnaires were sent break down as follows by categories or sectors of activity:
Industries producing capital good5 Industries producing consumer goods Research &I Dwelopment Institutions Industrial Properth .Agent\ Others
244 181 113 58 25
Total
621
The number of replies received was 213 (34.3070). which is considered satisfactory. Amongst those replying there were actual users and non-users, or potential users, breaking down as follows by sectors of activity:
Actual Capital
goods
Potential
Total
57
38
95
goods
12
20
32
R & D Institutions
3.5
28
63
Ind.
14
0
14
6
3
9
124
89
213
Consumer
Prop.
Agents
Others Total
The ‘others’ promotional
category comprises information institutions, trades associations,
centers, etc.
This study is to be published and may be sent to those interested in due course. Hence here not the whole of the aspects shall be dealt with but merely, in general lines, those points that are pertinent to the topic of this paper. Most of the actual users, especially the capital goods industries, are concerned with the legal aspects of patent documents and do not display interest in the actual information they contain. Interest in the legal aspect is linked to two different angles, namely: presentation of oppositions and checking of possible patent infringements. The consumer goods industries and the R&D institutions, on the other hand, are
Coaracy
more aware of the value of the information contained in patent documentation, especially for determining the state of the art before starting an R&D project. The search for information to check the state of the art with a view to new developments is preponderant amongst R&D institutions, 56.5% of those replying. As regards capital and consumer goods companies, taken together, only 5.8070 went after patent documentation for that particular purpose. The survey revealed, moreover, that a very small percentage of the companjes - only 12070 of the capital goods and consumer goods sectors as a group - consulted patent documentation so as to detect products or processes that could be manufactured or applied with or without a licence. It is not a matter of selecting the most adequate technologies within a programmed scheme of national development, but rather, random looking for something that could be manufactured or applied, by copying or under licence. The study does not give any evidence through either closed or open-end type questions, that patent documentation is used by either companies or R&D institutions with a view to: l
the quest for alternative technologies uith a view to negotiations for purchasing technology;
l
selection of the most suitable technologies a planned development scheme;
l
indication of holders and/or creators of technology also with a view to negotiation for technology (this objective may be embodied in the interest in the legal status of a given patent, but apparently this is not the case).
within
Nor is there evidence that patent documents are consulted from the point of view of their constituting a means of technology transfer. This could be inferred from the use made by the R&D institutions to check the state of the art and their use by companies to detect something that could be manufactured or applied with or without license. Since there was no indication in this respect in the such an inference would be somewhat study, temerarious. As regards industrial property agents, as might have been expected, patent documentation is consulted in the name of their clients, from the point of view of the legal status of the particular patent with a view to opposition or checking of possible infringement of patents. Where non-users, or potential users, of patent information are concerned the considerable interest aroused amongst them by the possibilities of this
Patent
information
is worthy
Information
in Relation
of comment.
It is remarkable to observe that the mere sending out of the questionnaire aroused a great deal of interest in the subject itself. Hence 78.2% of the non-users were thus alerted to the information contained in patents and asked for further information. The volume of work in the service effecting searches into the state of the art, maintained by INPI Technological Documentation and Information Center, increased tenfold from 1980 to 1981, subsequent to sending the questionnaire. This increase in consultations may be ascribed to the questionnaire because the letters accompanying the inquiries, in their vast majority, made reference to it. One of the most important points revealed by the study, however, is the need for promoting the use of patent information and for training of personnel in both industry and R&D institutions for the use of patent documentation including capacity of analysis and interpretation of documents, International
to Transfer
Patent
of Technology
Classification
and documentary
163 searches.
As regards the companies, the best way of doing this, as it is seen in Brazil, is to motivate them to set up within their own organizations a Patent Department or Nucleus. INPI will provide all necessary support and assistance in this respect, including training. To that end, INPI promoted last year in Sao Paulo, with the support of WIPO and UNDP, a Seminar on the Establishment of Patent Nuclei in Industrial Enterprises. As a result, during the present year, INPI will be giving two training courses on the subject for both companies and institutes for technological research and innovation. It is hoped that this will contribute to a better understanding in Brazil of patent documentation and to a better utilization of its vast potential in the interests of the country’s development.
\:ol.
3, NO. 3. pp. Ii9-
163, 1982.
0172-2190’X2~0~01~9-0.z50?.00 Pergamon International Informarlon
0 Corp.
1982 CEC‘ M’IPO
The Role of Patent Information to Transfer of Technology*
in Relation
G. Roberto Coaracy, Director of the Technological Documentation and Information Center of the Brazilian National Institute of Industrial Property
Summary
process of transfer of that technology - and the respective commercial transaction tend to perpetuate themselves, unless or until the recipient of the technology avails of, or acquires, technical capacity whereby he can evolve and keep up with technological progress, independently and autonomously.
After some general remarks about various aspects of transfer of technology to developing countries, the potential contributions thereto of patent documentation are enumerated. A recent survey shows that so far in Brazil only very little of this potential has been realized. Various ways in which the BJ ;:/ilian INPI is promoting the use of patent intormation are indicated.
Introduction. General Transfer open to from the number political, these.
Transfer
of technology discussions very simple of different social, or a
of Technology
On the other hand, it is also valid to suppose that transfer of technology may occur thrr\ugh technical information that is freely available, if not wholly, at least in part. This is mainly the case if the party demanding the technology is in possession of the needed technical qualifications. This would - if not eliminate at least considerably reduce the commercial transaction.
in
is a vast subject, complex and from many different angles, to the most elaborate, within a approaches: economic, legal, combination of all or some of
It could also be asked what are the motivations that lead a less developed society to demand for a specific technology. Does this demand stem out of actual felt needs, with a v,iew to effective, planned progress, to make up for authentic deficiencies that would justify the transfer sought? Or is it a demand inspired by a mere spirit of modernization, or imitation, independent of the economic and social dev.elopment called for on the assumption that what is good for one society is good for another one? Actually, what is good for a particular society is not necessarily good for another one. And, as a corollary, what is bad for one society is not necessarily so for a different one.
What, for instance, is actually meant by transfer of technology? Is it limited to a mechanism through which someone proposes to cede to someone else something he has created, teaching him how to do it, in return for a fee, as a mere commercial transaction of purchase and sale of technological knowledge? To the vast majority in the production sector, that is essentially what it consists of. From this point of view, transfer of technology acquires the connotation of technological trade.
Within this context, there are still a number o! speculations, which fit more truly into the sociological field. The technical and economic development of a particular society and hence the transfer of that development to another one - especially if the latrcr is less developed - may have far-reaching effects on social behavior, altering values and disrupting a number of traditions that comprise its cultural heritage and its own culture. In certain circumstances this may be a good thing. But it can also be harmf,tl, especially if the sole motivration for development and its transfer - is mere commercial interest. Thc\e are polemical topics of a political and philosophical nature and this is neither the place nor the time to discuss them. Moreover, they transcend the specific topic of these remarks.
Within this context, one may ask at what precise moment, in .: commercial transaction of this kind, can it be assured that a particular technology has actually been transferred. It may be said that, since technology in any area is a cumulative process in continuing evolution, transfer in a given area is likewise evolutional and cumulative. Hence the
*Based on a p-Der read during the Training Course on Patent Information. xanized by WIPO and the USSR Srate Committee for Invention, md Discoveries, with financial support of the United Nation3 Development Programme (UNDP), held in Moscow from June I7 to July 2, 1982.
159
160
G. Roberto
These points idea of the within which information which is the
are merely brought up to give a rough scope and amplitude of the problem, one has to place the role played by the contained in patent documentation subject of this paper.
To do so, one has to start from a more objective premise: transfer of technology is a process which contributes to technological development and the economic and social progress of the nations. However, for the less developed countries, the questions brought up in the introduction to this paper ought not to be overlooked. To the contrary, it would be good to keep them in mind. It should be emphasized, moreov’er, that no matter what process of transfer of technology is used or what are the motivations, that process will take effect only if the recipient of the technology has an infra-structure of support and sufficient technical training to receive, comprehend, absorb and adapt the technology. To speak specifically and objectively about the role of patent information vvithin this complex that comprises the process of transfer, certain hypotheses are raised based on the experience of Brazil, uhich consists, in relation to this specific topic, in the study of patent information users in Brazil.
Potential Transfer
of Patent Documentation of Technology
in
As patent applications and patents themselves cov’er the entire technological universe and as inventions generally derive from previous inventions, the collection of patent documents over the years, comprising the largest possible number of countries, makes up a considerable portion of the collective history of technological development of mankind in the modern era, as of the industrial revolution. This point should be kept in mind, because it is related to the analysis of technological information contained in patent documents. A single patent docno matter how recent it may be, on a ument, for an particular topic, is not always sufficient evaluation of the state of the art for conducting research or for an appraisal of technology that may be offered in relation to the same topic. There may be a need for a knowledge of the historic development of the respective technology, which can be obtained by a retrospective search of the patent documentation relating to the said field. It may therefore be concluded that a collection of patent documents as all-encompassing as possible in terms of time, space and technological fields, represents a tremendous potential for technological development, on account of the wealth of information it contains.
Coaracy As this patent documentation is stored in the various industrialized countries basically with the same structure, and as the various countries interchange documents amongst themselves, patent documentation taken as a whole is a literal international network of technological information that is to hand, open to consultation, ready for use. Then there is another aspect, of major importance, that should not be overlooked. It is estimated that in the developing countries having patent systems, 8O”o of the patents they grant are of foreign origin. Yet that 8OVo figure represents only 69’0 of the whole of the patents in force all over the world. As patents possess only territorial value, meaning that they are valid only in the country in which they were granted, and are in the public domain in other ones, this means that theoretically 94Y’o of the patents in force in the entire industrialized world are in the public domain in the developing countries, and may therefore be copied freely and legally. From what has been mentioned there can be no doubt ai to the extraordinary. potential represented by the information contained in patent documentation. But hovv can this potential be availed of to the benefit of the developing countries, mainly within the context of transfer of technology? If one takes as valid the supposition that the transfer of technology can take place through freely available technical information, as mentioned at the beginning of this paper, that means that patent documentation plays a basic role in the process. The patent laws of almost all countries establish that the description of the invention in a patent application should disclose it in such a manner that an expert in the art will be capable of reproducing it. Theoretically, then, the patent document should be by itself an element whereby transfer of technology would take place, provided the ones with a demand for the technology had the supporting infrastructure and the technical qualifications required. But this is not always the case. Quite to the contrary. It occurs only in a very fev+ instances perhaps v+ith simpler technologies. Not only does a patent document not disclose the knovv-how, but also, in certain cases, some critical datum may not be revealed with sufficient precision in the patent document. Hence copying an invpention purely and simply, through a patent document, is a difficult task, with doubtful results likely to occur. Patent
documentation
containing
information
on
the
Patent
Information
in Relation
state of the art in a particular field, and the progress in relation thereto may serve as a basis for new developments by research institutions or research and development departments of industries. Based on the background description of the evolution of a particular technology, a research worker checking the approaches adopted to reach the state of the art ma! seek out other approaches - possibly simpler ones - for arriving at the same result, or at results implying improvements over what already existed. In this context it should also be borne in mind that copying an invention does not permit Patenting of it by the one who copies, since the inventilln is a matter of public knowledge and does not comprise any novelty. Thus an invention copied, in a country in which it was not patented, can be worked only on a non-exclusive basis, which permits third-party competition and disputing of the market. On the other hand, relevant improvements to a product or process may be patented and worked on an exclusive basis, which means a reserlfed market. These are some considerations as to the ways in which documentation of patents in itself may comprise a form of technology transfer. In Brazil patent documentation used in the direction of research opments.
is beginning to be aimed at new devel-
to Transfer
of Technology
that ought
to be preserved.
Analysis of the patent documentation, moreover, indicate\ who is the original holder of the technology selected, permitting direct contact, without intermediaries, which may facilitate the negotiations and reduce the costs of purchasing technology. Whatever the process of technology transfer may be, however, it is desirable to emphasize once again that it will be effective only if the recipient country has a supporting structure and technical capacity to receive it, absorb it, adapt it and develop it. Summarizing, and bearing in mind the condition just patent documentation, due to its mentioned, potential, should play an important role in the process of transfer of technology: l
a
l
l l
Patent documentation may, however, play another role, connected with commercial negotiations for the purchase and sale of technology. Since patented technology is a negotiable economic ‘good’, patent documentation theoretically opens up the technological market. In other words, patent documentation affords technological alternatives for a particular development. Knowledge of the available technologies and their alternatives should provide the purchaser of technology with greater bargaining power, placing him in a better position to negotiate technology transfer contracts.
161
l
theoretically, by virtue of the information it contains, it is in itself an element of transfer of technology; by indicating the state of the art, it can serve as a basis for new developments or advances in technology; also theoretically, in the process of negotiation for purchase of technology, patent documentation may represent the opening up of the world technological market, affording alternatives to a particular area of development; the patent document shows to the eventual purchaser what he is actually buying; in a program of planned development, patent documentation may permit the selection of the technologies most suitable to a particular stage of development, taking into account the pre\,ailing cultural patterns; by indicating the holder and the creators of the technology, the patent document may facilitate direct negotiations, dispensing \vith intermediaries.
Perhaps some other aspects as well might be brought up. The points touched on here, ho\\c\,er, are an indication of the role that patent inf
In negotiating a patented technology, the purchaser by examining the respective patent document can actually see \ hat he is buying instead of negotiating a technology just on the information provided by the licenser, whi,h is so often the case, at least in Brazil.
The reality of the matter is somew,hat different, at least where Brazil is concerned, as we shall now see.
In a planned ,:conomic and social development program intendc,. to serve the real needs of development of a society or to make up for legitimate shortcomings, analysis of patent documentation may indicate which process best meets those needs in accordance with the stage of development of the particular society and, what is also important, without jeopardizing the cultural values and patterns
The Technological Documentation and Information Center (CEDIN) of the National Institute of Industrial Property (INPI) has just concluded a sur\.ey on the users of patent documentation, carried out jointly with the Brazilian Institute on Information in Science and Technology (IBICT), an agency connected with the National Council for Scientific and Technological Development (CNPq).
Use of Patent
Information
in Brazil
162
G. Roberto
The survey was carried out on a pilot basis which besides serving as an indicator of the deficiencies and possibilities of improving the patent information services of INPI, also fits in with the pilot project on users of patent information and their needs, within the framework of WIPO’s Permanent Committee on Patent Information (PCPI). The survey conducted in Brazil was made by means of questionnaires sent by mail to 490 different institutions and/or enterprises operating in the area of fossil coal and alcohol as alternative sources of energy. One trade association duplicated the questionnaire and sent it to its associates, so that the questionnaire actually got to be distributed to 621 institutions/enterprises. The 621 sample entities to which the questionnaires were sent break down as follows by categories or sectors of activity:
Industries producing capital good5 Industries producing consumer goods Research &I Dwelopment Institutions Industrial Properth .Agent\ Others
244 181 113 58 25
Total
621
The number of replies received was 213 (34.3070). which is considered satisfactory. Amongst those replying there were actual users and non-users, or potential users, breaking down as follows by sectors of activity:
Actual Capital
goods
Potential
Total
57
38
95
goods
12
20
32
R & D Institutions
3.5
28
63
Ind.
14
0
14
6
3
9
124
89
213
Consumer
Prop.
Agents
Others Total
The ‘others’ promotional
category comprises information institutions, trades associations,
centers, etc.
This study is to be published and may be sent to those interested in due course. Hence here not the whole of the aspects shall be dealt with but merely, in general lines, those points that are pertinent to the topic of this paper. Most of the actual users, especially the capital goods industries, are concerned with the legal aspects of patent documents and do not display interest in the actual information they contain. Interest in the legal aspect is linked to two different angles, namely: presentation of oppositions and checking of possible patent infringements. The consumer goods industries and the R&D institutions, on the other hand, are
Coaracy
more aware of the value of the information contained in patent documentation, especially for determining the state of the art before starting an R&D project. The search for information to check the state of the art with a view to new developments is preponderant amongst R&D institutions, 56.5% of those replying. As regards capital and consumer goods companies, taken together, only 5.8070 went after patent documentation for that particular purpose. The survey revealed, moreover, that a very small percentage of the companjes - only 12070 of the capital goods and consumer goods sectors as a group - consulted patent documentation so as to detect products or processes that could be manufactured or applied with or without a licence. It is not a matter of selecting the most adequate technologies within a programmed scheme of national development, but rather, random looking for something that could be manufactured or applied, by copying or under licence. The study does not give any evidence through either closed or open-end type questions, that patent documentation is used by either companies or R&D institutions with a view to: l
the quest for alternative technologies uith a view to negotiations for purchasing technology;
l
selection of the most suitable technologies a planned development scheme;
l
indication of holders and/or creators of technology also with a view to negotiation for technology (this objective may be embodied in the interest in the legal status of a given patent, but apparently this is not the case).
within
Nor is there evidence that patent documents are consulted from the point of view of their constituting a means of technology transfer. This could be inferred from the use made by the R&D institutions to check the state of the art and their use by companies to detect something that could be manufactured or applied with or without license. Since there was no indication in this respect in the such an inference would be somewhat study, temerarious. As regards industrial property agents, as might have been expected, patent documentation is consulted in the name of their clients, from the point of view of the legal status of the particular patent with a view to opposition or checking of possible infringement of patents. Where non-users, or potential users, of patent information are concerned the considerable interest aroused amongst them by the possibilities of this
Patent
information
is worthy
Information
in Relation
of comment.
It is remarkable to observe that the mere sending out of the questionnaire aroused a great deal of interest in the subject itself. Hence 78.2% of the non-users were thus alerted to the information contained in patents and asked for further information. The volume of work in the service effecting searches into the state of the art, maintained by INPI Technological Documentation and Information Center, increased tenfold from 1980 to 1981, subsequent to sending the questionnaire. This increase in consultations may be ascribed to the questionnaire because the letters accompanying the inquiries, in their vast majority, made reference to it. One of the most important points revealed by the study, however, is the need for promoting the use of patent information and for training of personnel in both industry and R&D institutions for the use of patent documentation including capacity of analysis and interpretation of documents, International
to Transfer
Patent
of Technology
Classification
and documentary
163 searches.
As regards the companies, the best way of doing this, as it is seen in Brazil, is to motivate them to set up within their own organizations a Patent Department or Nucleus. INPI will provide all necessary support and assistance in this respect, including training. To that end, INPI promoted last year in Sao Paulo, with the support of WIPO and UNDP, a Seminar on the Establishment of Patent Nuclei in Industrial Enterprises. As a result, during the present year, INPI will be giving two training courses on the subject for both companies and institutes for technological research and innovation. It is hoped that this will contribute to a better understanding in Brazil of patent documentation and to a better utilization of its vast potential in the interests of the country’s development.