CUSTOMIZED BASELINE SURVEY

QUESTIONNAIRE
(For MIP Students, Africa University,
Technology Transfer, IP Asset Management
and Strategic Planning)

A TOOL TO ASSESS THE CURRENT STATUS OF THE NATIONAL

INTELLECTUAL PROPERTY SYSTEM AND ITS LINKS WITH
NATIONAL DEVELOPMENT PRIORITIES IN THE COUNTRY

CLUSTER 1: ADMINISTRATION AND MANAGEMENT OF INDUSTRIAL PROPERTY

PART A: CURRENT STATUS

1. Legal Status of the National IP Office

What is the current legal status of the Industrial Property Office in The Country? To which
government department and ministry does it fall in?

2. Autonomy of the IP Office

Please explain the current governance of the IP Office. Does it have a board? Who appoints
it? What is its composition? How is the IP Office funded?

3. Key functions of the National IP Office

Which industrial property rights does the IP Office grant and administer?

4. Staffing of the IP Office and human resource development plan

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What is the current number of staff working directly on industrial property? Are they
adequately trained? What training programs are available to the staff to increase its
knowledge of IP? Does the Office have a staffing plan?

5. Formal and substantive examination

Does the office undertake formal and substantive examination? Explain.

6. Automation and modernization of the IP Office

a. Which functions of the IP Office have been automated and for which functions are
automation plans currently in place? (e.g. automated information systems to facilitate
the search, examination or registration of patents, trademarks etc.)

b. How does the IP Office publish IP applications, patent specifications, trademarks and
registered designs, and how does it notify the public of grants?

c. How is the IP Rights’ Register made available to the public? Are electronic transactions
possible between applicants and the IP Office? If so, how?

7. IP Applications and Grants

a. What are the current statistics on IP applications and grants and what conclusions do
you draw from them? What is the balance between applications from nationals and
foreigners and how do you interpret this? In which sectors are most IP applications
received?

b. How long, on average, does it take for the IP Office to grant/refuse an application for
an IP right after the initial application has been submitted?

8. National laws on IP

a. Which are the laws that provide IP protection for patents, utility models, plant breeders
rights, trademarks, copyright, industrial designs, trade secrets, integrated circuit, GI and
TK? Please indicate when those laws were enacted.

b. Which of the above laws may require revision and why? Which new IP laws could you
consider enacting and why?

9. IP Tribunal

Does The Country have an IP Tribunal? If yes , please indicate the legal status, funding,
appointment of members and composition. If not, how can an IP right be opposed or
cancelled? how are decisions made by the IP Office challenged or subjected to review?

10. Compliance with TRIPS and use of flexibilities

Are IP laws indicated under point 8 compliant with TRIPS? Does The Country have policies
and regulations to exploit TRIPS flexibilities such as compulsory licensing and parallel
importation? Explain

11. Compliance with international agreements, treaties and protocols

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Which international agreements, treaties and protocols is The Country currently party to?

13. IP Registration Professionals (Attorneys and Agents)

How many IP professionals/attorneys are currently practicing? How does this number
match demand for their services? How are IP professionals trained and qualified? How is
their profession regulated? What role does the IP Office have in the training, qualification
and regulatory process?

PART B: PROBLEMS, CHALLENGES, PRIORITIES AND STRATEGIC ISSUES

14. Problems, Challenges and priorities

What are the main shortcomings in IP laws and regulations which affect the ability of IP
stakeholders to use the IP system effectively? What other major current problems or
challenges? What are the priorities for developing the IP system over the next 5 – 10 years?

CLUSTER 2: GENERATION OF IP BY UNIVERSITIES, RESEARCH ORGANIZATIONS,

BUSINESS, INDUSTRY, SMES AND INDIVIDUALS

PART A: CURRENT STATUS

1. Science Technology and Innovation (STI) Policy

Does The Country has a policy on science, technology and innovation? Who is responsible for
it? Which sectors are key to the national economy? Provide data on the sectors/industries that
contribute the most to the gross domestic product. Which types of businesses does the
Government focus on (i.e. large-scale enterprises, small and medium-sized enterprises, micro
enterprises)?

2. Promoting innovation and patenting in industry

a. How is technology transfer from universities and research institutions facilitated by

the Government? What rules does the Government apply?

b. What financial support does the Government offer to businesses to support

innovation and the creation of IP assets. Do SMEs receive any particular concessions?

c. Are there institutions that provide businesses with information on IP creation, use,
commercialization and/or enforcement? How efficient are these services? What
training programmes does the Government provide to businesses in relation to
innovation and IP matters? How does the Government facilitate cooperation between
various stakeholders in the creation and exploitation of IP?

3. Institutional IP Policies

Are there IP policies in universities and research institutions that regulate IP ownership,
benefit sharing, commercialization, spin off, linkages with industries?

4. Funding of R&D
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What percentage of GDP is allocated to R&D activities by the Government? What

percentage of GDP is allocated to R&D activities by the private sector? What is the
contribution of donor funding to research activities in universities and research
organizations (in percentage)? Who determines the research agenda in universities and
research organizations? Is it the Government or the donors?

5. Human Resources for Innovation and National Innovation System

a. Are researchers knowledgeable on IP issues?

b. Does The Country have a national innovation system?

6. Technology and IP information Services

Are IP databases available and accessible? If so, do businesses make use of these IP
databases? If not, why don’t they make use of them? To what extent do universities and
research institutions use technology and patent information systems for research and
development? To what extent do businesses and SMEs use technology and patent
information systems for innovation and acquisition of technology? Does The Country have a
policy to encourage businesses and SMEs to use patents in the public domain?

7. IP awareness and outreach programs

What is the general level of IP awareness in the country? Has an evaluation exercise of IP
awareness in the country been undertaken? Does the level of IP awareness differ from
sector to sector, e.g universities, business, research institutions, government departments,
local government? Is there a strategy for enhancing IP awareness?

8. IP Education and Training

At which educational institutions is IP education and training given? What are the types of
courses provided?

PART B: PROBLEMS, CHALLENGES, PRIORITIES AND STRATEGIC ISSUES

9. Problems, Challenges and Priorities

a. What are the main barriers that businesses face when innovating/wanting to innovate?
(e.g. skills shortages, access to finance, burdensome business regulations, IP rights’
registration, maintenance and enforcement costs etc.)

b. What are the major problems and challenges created by the current situation? What
are the priorities for developing the IP system over the next 5 – 10 years?
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CLUSTER 3: COMMERCIALIZATION OF IP AND TECHNOLOGY TRANSFER BY

UNIVERSITIES, RESEARCH ORGANIZATION, BUSINESS, INDUSTRY, SMES AND
INDIVIDUALS

PART A: CURRENT STATUS

1. Technology Transfer Offices

Do universities and research institutions have Technology Transfer Offices? If so, how are they
resourced, staffed and operated? If not, how is commercialization from universities and
research organizations facilitated?

2. Valuation of IP Assets

Are there mechanisms for assessing the value of IP assets and how are these used? Are there
experts on IP valuation? Are there policies to promote IP valuation? Are industries encouraged
to carry out regular valuations of their IP assets?

3. Financing of commercialization of IP assets

Collateral: Are the objects of IP regarded as assets against which finance can be raised? What
types of IP are regarded as financial collateral? Financial reporting: Are IP assets considered
in the financial reporting of publicly-owned companies? Privatization: Are IP assets considered
in the privatization of publicly-owned companies? Venture Capital: Are venture capital
mechanisms available? If so, to what extent are these mechanisms used?

4. Licensing of IP Assets

What systems are in place for facilitating technology licensing between different stakeholders?
Are there professional service providers on licensing? Is there a government agency that can
provide various support related to licensing? Are there success stories of licensing agreements
between universities and local industries?

5. Business (Technology) incubation

Does The Country have a policy on business (technology) incubation? Do universities and
research organizations in the country have business incubation programmes/centres? If so, how
are they funded and what is their success rate?

6. Product and prototype development facility

Does The Country have the infrastructure or facilities to support researchers and inventors with
product or prototype development? If so, how do they operate and how are they funded?

7. Science and Technology Parks

Does The Country have a policy on the development of science or industrial parks? Do
universities and research organizations have science or industrial parks? If so, how are they
funded and what is their success rate?

8. Technology Transfer Policy

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Has The Country undertaken a technology needs assessment? Does The Country have a policy
on technology transfer? Does The Country have the infrastructure to promote the utilization of
patents in the public domain?

9. IP Commercialization Professionals (valuation, auditing, licensing and technology

management)

Are there IP commercialization professionals that do IP valuation, auditing, licensing and

technology management?

PART B: PROBLEMS, CHALLENGES, PRIORITIES AND STRATEGIC ISSUES

10. Problems, Challenges and Priorities

What are the main barriers that universities, research institutions, businesses, SMEs and
individual inventors face with regard to the commercialization of IP assets and technology
transfer? What are the priorities for developing the IP system over the next 5 – 10 years?
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CLUSTER 4: THE COPYRIGHT AND COPYRIGHT INDUSTRIES

PART A: CURRENT STATUS

1. Legal Status of the Copyright Office

Please explain the current legal status of the Copyright Office. Is it a small unit, a department, a
semi-autonomous or an autonomous entity? To which government department and Ministry is
the Copyright Office under?

2. Autonomy of the Copyright Office

Please explain the current governance of the Copyright Office. Does it have a board? Who
appoints it? What is its composition? How is the IP Office funded?

3. Key functions of the Copyright IP Office

Is there a formal registration of copyright works? Does the Copyright Office have any judicial
functions?

4. Staffing of the IP Office and human resource development plan

How well is the Copyright Office staffed? What training programs are available to the staff to
increase its knowledge of IP? Does the office have a staffing plan?

5. National Cultural Policy

What are the national development goals and priorities that are relevant to this particular
sector?

6. Economic impact of copyright and related industries

Has a study been undertaken in the country on the economic impact of the copyright and
related industries?

7. Promoting the creative industry

What steps are taken to help the sector understand IP and its usage? What type of support do
cultural creators receive from the Government (or any other institutions) for the production,
marketing and distribution of their works?

8. Collective Management Organizations

What Collecting Societies are there? Who owns them and how are they run?

9. Traditional Knowledge and Folklore

What policies does the Government have to explore further protection and commercialisation of
TK and folklore?

10. IP and ICT

How is IP used to develop the sector?

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PART B: PROBLEMS, CHALLENGES, PRIORITIES AND STRATEGIC ISSUES

11. Problems, Challenges and Priorities

a. What are the major problems and challenges created by the current situation?

b. In your view, what key reforms are needed at this stage? (regulatory, legal,
policy, institutional framework; human, technical, financial resources etc.)

c. What are the priorities for developing the IP system over the next 5 – 10 years?

CLUSTER 5: PLANT VARIETIES RIGHTS AND SEED INDUSTRIES

PART A: CURRENT STATUS

1. Plant varieties protection

Is protection provided for plant varieties by patents, or by a sui generis system, or by any
combination thereof? Which are the main agricultural resources with a competitive advantage?
What is the policy of public research institutes with regard to the protection of plant varieties
(breeders’ rights)?

2. Legal Status of the Plant Breeders’ Rights Office

Please explain the current legal status of the Plant Breeders’ Rights Office. Is it a unit, a
department, a semi-autonomous or an autonomous entity? To which government department
and Ministry is the Plant Breeders’ Rights Office responsible?

3. Autonomy of the Plant Breeders’ Rights Office

Please explain the current governance of the Plant Breeders’ Rights Office. Does it have a
board? Who appoints it? What is its composition? How is the Plant Breeders’ Rights Office
funded?

4. Key functions of the Plant Breeders’ Rights Office

Does the Plant Breeders’ Rights Office have any judicial functions?

5. Staffing of the Plant Breeders’ Rights Office and HR development plan

How is the staffing situation in the Plant Breeders’ Rights Office?

6. Agricultural Policy

What is the government policy for the development of agriculture?

7. Genetic Resources and Products

What steps are being taken to identify and protect national genetic resources?

8. Geographical indications
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What agricultural-based products are significant to the economy? How are indicators of
geographic origin used to promote products?

9. Commercialization of plant varieties rights

What strategies for commercialization of plant breeders rights is available in The Country?

PART B: PROBLEMS, CHALLENGES, PRIORITIES AND STRATEGIC ISSUES

10. Problems, Challenges and Priorities

What are the major problems and challenges created by the current situation? In your view,
what key reforms are needed at this stage? (regulatory, legal, policy, institutional framework;
human, technical, financial resources etc.) What are the priorities for developing the IP
system over the next 5 – 10 years?

CLUSTER 6: ENFORCEMENT OF IP RIGHTS

PART A: CURRENT STATUS

1. IP Enforcement Laws and Agency

a. Which laws are available for enforcement of IP rights in The Country? Are they
scattered or consolidated?

b. Is there one or several agencies dealing with the enforcement of IP laws in The
Country? If there several agencies, please name them. To which Ministries to they
belong? How is coordination realized to reduce duplication of roles?

4. Border measures - What border measures are there to deal with IP enforcement?

5. IP Enforcement Courts - Is there a specialised IP Enforcement Court? Which courts

handles issues of IP?

6. IP enforcement officers (Lawyers, Judges and police)

How are lawyers and judges trained in dealing with IP matters? To what extent do
lawyers and judges specialise in IP cases? How are judges appointed to deal with IP
cases? What is the relationship between judges dealing with IP cases and those dealing
with competition cases?

7. Civil Disputes

How are decisions of the IP Office challenged? Which types of cases are heard in the Civil
Courts? Which Court(s) have jurisdiction deciding between parties, whether individuals or
legal entities?
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8. Education and awareness creation on the public and consumers

Is there a program for education and awareness creation for the public and the consumers
on the dangers and the impact of counterfeit and pirated goods? If so how effective is it?
Has there been a study on the impact of counterfeit and piracy on the economy of the
country? If yes, what were the main findings?

PART B: PROBLEMS, CHALLENGES, PRIORITIES AND STRATEGIC ISSUES

9. Problems, Challenges and Priorities

What are the major problems and challenges created by the current situation? What reforms
do you believe are needed to improve the current situation? What are the priorities for
developing the IP system over the next 5 – 10 years?

CLUSTER 7: IP AND PUBLIC POLICY

PART A: IDENTIFICATION OF PUBLIC POLICIES

1. Main National Development Blueprint

Does The Country have a long term development blue print (policy) If, yes please give the
following details (Name, date of launch and duration) What is the long term vision of this policy?
Describe the key pillars (economic, social and cultural) if any

2. Key Economic and Social Sectors Identified

Please list the key economic sectors identified in the National Development Policy (Tick
where appropriate) and those sectors for which a policy is in place

Tick (sector identified Tick (sectors that have

in development policy policy)
1 Agriculture
2 Culture
3 Education
4 Employment
5 Energy
6 Environment
7 Health
8 Housing
9 ICT/BPO
10 Industry/Manufacturing
11 Mining
12 Oil
13 SME
14 Tourism
15 Trade
16 Water and Sanitation
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PART B: ANALYSIS OF THE IDENTIFIED PUBLIC POLICIES

For each of the identified public policies, please read and document the following:
a. Policy details: Name; Date of launch; Duration and the Custodian of the policy
b. Strategic direction of the Policy: Vision; Mission and Key Objectives
c. Strategies to realise the set objectives
Please list down the strategies identified for the realisation which have something to do with IP.

PART C: SELECTED EXAMPLES OF LINKING STRATEGIES WITH IP

1. Agriculture Policy
Examples of strategies drawn from Agriculture Policy that can be driven by IP
i. Increasing productivity through mechanization and irrigation
ii. Introducing new plant varieties
iii. Promoting geographical indications and certification marks
iv. Promoting Research and development
v. Value addition to agricultural products
vi. Promotion access to external market e.g. through branding, trademarks,
geographical indication and certification marks

2. Health Policy
Examples of strategies drawn from Health Policy that can be driven by IP
i. Increasing access to affordable health
ii. Developing herbal/natural health products
iii. Promoting Research and development
iv. Increasing access to essential drugs
v. Promoting local manufacturing of drugs

3. Industry Policy
Examples of strategies drawn from Industry Policy that can be driven by IP
i. Promoting value addition
ii. Improving quality of products
iii. Enhancing access to technology
iv. Increasing productivity and competitiveness of the local industries
v. Promoting innovation in business and industry
vi. Supporting development of technology and promoting appropriate technology

4. Cultural Policy
Examples of strategies drawn from Culture Policy that can be driven by IP
i. Promoting local artists and creators
ii. Protect indigenous knowledge and cultural heritage
iii. Developing the creative and cultural industries

5. Environmental Policy
Examples of strategies drawn from Environmental Policy that can be driven by IP
i. Promoting green technology
ii. Promoting waste to energy programs
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iii. Enhancing access to cleaner technologies

iv. Climate response strategy

6. Trade Policy
Examples of strategies drawn from Trade Policy that can be driven by IP
i. Complying with TRIPS and other international trade agreements
ii. Promote branding for access to regional and international market
iii. Promote GIs and Certification Marks

7. ICT Policy

Establishing an ICT Park, promoting BPO, promoting software development business and
establishing ICT Incubation services

8. Education Policy
Examples of strategies drawn from Education Policy that can be driven by IP
i. Promoting access to teaching materials
ii. Developing distance, Virtual and promoting e-learning
iii. Developing teaching and demonstration equipment
iv. Promoting a culture of innovation and creativity
v. Provide incentive for preparation of teaching materials
vi. Promote local manufacture of laboratory equipment

9. Housing Policy

Developing affordable and cheap building materials, developing appropriate building

technologies and developing new building materials

10. Water and sanitation Policy

Developing affordable and cheap water purification technologies; promoting water harvesting
technology, promoting waste water management technologies and promoting waste recycling