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Draft Bill for IPR in Publicly Funded Research (still open for comment) – a publishing perspective

Those academics and researchers who have been away on vacation might not know that a Draft Bill on IPR in Publicly Funded Research was released for comment
a few weeks ago. The deadline for comment was very short – some ten days in the middle of the holidays. The contents of the Bill are dire – I have not spoken to anyone who is happy with what it says. For those newly returned to the treadmill, I posted blogs on the Bill on the 5
th
and 13th of July. The blog of 12 July describes some of the provisions of the Bill. Basically, it sets up a system in which any research that has patent potential must be submitted to the university IPR Office and all intellectual property rights (including all copyrights connected with the invention) are ceded to the university. If the university does not want to take a patent on the
research, then the rights go to the government. Worse, the Bill requires any research that might conceivably at some stage, be patentable, to be treated the same way. More, it requires all publications (which, the lawyers tell me, could include blogs and websites as well as formal publications) to be screened by the university IPR office before they can be published, just i case they might reveal something patentable. And then, if an employee of the university fails to report a piece of research that is patentable, she is subject to disciplinary procedures (and employees include students) But there is even more than this – go and read it.

At the very last moment, on the closing day for comment on this Bill, the deadline for comment was extended until 20 August. Not much consolation for colleagues who has worked through the night and lost two weekends working on replies, but a good thing nevertheless. The Bill has very serious implications for any South African researchers so, now that the university term has started, I hope that a greater number of you will become aware of it and let your universities – and the DST – know how this might affect your research.

As a publisher, I am concerned that this Bill, if enacted, could impact very negatively on scholarly publication. I find it hard to imagine how any university could cope with screening every publication before it can be submitted to a publisher or conference organiser. And, knowing how we all work to tight deadlines, I think that the need to write in several weeks of extra time before being able to submit any journal or conference paper could be a nightmare. Then, if the lawyers are right and the definition of ‘publication’ includes blogs and discussion forums, then even informal research communications would have to be screened. The potential costs are substantial – every publication would have to be read by an expert who would be able to discern if there is a potential patent hidden in the publication concerned. And screening would include not only the publications that are ultimately accepted, but also the very large number that are rejected. The university would have to become, at great expense, a very Big Brother, and all spontaneity in communication between researchers would be stifled. In a world in which collaborative research has become a necessity, this would be a serious backward drag on the very publication output that we are trying to expand.

Here is a comment from Dr Alma Swan, of Key Perspectives, a highly regarded consultancy in scholarly communications with a long list of very prominent clients, from the UK government and the European Union to the Public Library of Science and the Nature Publishing Group. She holds posts at Warwick Business School, and in the School of Electronics & Computer Science and the School of Management at the University of Southampton. Her comments are acerbic – she says that she was
having an irritable day, but I think she was entitled to this, given the content of this Bill:

Far from helping SA science and technology this Bill has the potential to slow it to walking pace while every article is checked for patent potential. How truly bizarre. Still, good news for South Africa’s competitors.

If I were an (international) funder I would steer clear of funding any SA research under this set of conditions. It will be a slowdown for OA, though presumably just a slowdown: it will hold up deposit and publication while each article is cleared. .The primary losers will be SA’s scientists, whose work gets held up when it is ready for publication – could mean the difference between being the first to publish on something or losing the race to someone else. At the very least, delaying publication means delayed impact, which is important to individuals (perhaps seeking jobs, tenure, etc) and certainly for the country. It seems a very odd development.

Given Alma’s status in the international world of scholarly communication, I would take this comment seriously.

IP in Publicly Funded Research Bill – does the cure match the disease?

The first question that arises in relation to this piece of legislation is why it has been drafted – what perceived need does it fill? And why the need to draft so widely – and even inventions that might conceivably become patents some day?

As far as I can establish, there are two separate areas that the government feels needs addressing. One is the perception that the universities are not performing well enough in delivering value for the money that is being invested in public research in the country. The other is that South African knowledge resources and intellectual property – as is common across the developing world – risk being pillaged by patent-seekers from the global North, particularly from the USA. In the later view, unless we protect ourselves with a strong IP regime, we will risk losing the exploitation of our intellectual capital to more powerful
Northern pirates and raiders.

As South Africa’s National Research and Development Strategy (2002) said: ‘These are valid concerns. More South African research needs to be more effectively disseminated and exploited for the national benefit. And the risk of predatory raids by US bounty hunters is real enough – the Rooibos case is the most high-profile recent case in this regard and there are genuine concerns about how best to protect traditional knowledge from appropriation. The problem is in the solution being proposed, which, I would suggest, is in fact contrary to some of the DST’s most enlightened – and most central – policy-making and
might well be the wrong cure for the disease.

I was concerned to see in an ITWeb article that Matlu Mabokano, manager of hydrogen and energy at the Department of Science and Technology (DST), is quoted as saying that the Bill is heading for Parliament this week even as comment is being sought. He is quoted as being dismissive of the fact that there have not been many comments submitted yet, accusing South Africans of being chronic last-minuter responders. This seems an opinion based on a blithe assumption that the issues in the Bill are not problematic and are simple and straightforward to respond to. This is not the case -the issues at stake are very complex and it has taken the Australian government, for example 800 pages to summarise the outcome of its consultation on the same issues in the Productivity Commission Report published two months ago. Moreover, as the DST itself wrote in the National Strategy for Science and Technology: ‘International thinking on legislation is as fluid and fast-moving as the new technologies themselves’. Yet Mabokano’s apparent assumption of simplicity and obviousness is not an uncommon view among those who propound proprietary models of IP protection. The Copy/South Dossier, which reviews the global IP regime from the perspective of developing countries, argues that the ‘dominant discourse around intellectual property – whether legal or sociological – starts from some largely unexamined assumptions’.

The assumption that a strong IP regime on its own fosters development and economic growth is one that is being increasingly challenged worldwide. Policy-making needs to be forward-thinking. As NEPAD argues in its discussion document on science and technology indicators, policy-makers need to be able ‘to discern, based on their expert knowledge, the future trajectories of the subject and the interventions which might improve its development’. The future does not look as if it will be one of proprietary IP systems only.

The DST’s policy on Science and Technology puts the role of technology and the changes being wrought by ICT at the heart of its proposals for development. As the White Paper on Science and Technology says:

The world is in the throes of a revolution that will change forever the way we live, work, play, organise our societies and ultimately define ourselves … The ability to maximise the use of information is now considered to be the single most important factor in defining the competitiveness of countries as well as their ability to empower their citizens through enhanced access to information.

This perspective seems to be missing from the Draft Bill. Worse, in fact the White Paper’s policy perspective, which stresses access and the maximisation of the use of information, risks being marginalised in a vision in this Bill which seeks to subordinate a very wide range of information management to the proprietorial and necessarily secretive
world of patents. South Africa’s Science and Technology Policy is also firmly founded on the need for research to make a public
development contribution: ‘A South African vision of the information society should seek to ensure that the advantages offered by the information revolution reach down to every level of society and achieve as best a balance between individuals and social groups, communities and societies as is practically possible.’ Science and Technology, it argues, must address the real needs of South Africa as for social and economic development. Patents on their own do not achieve this. In fact it is widely recognised that commercialising the research system by focusing on patents alone will advantage inventions that appeal to the wealthy, rather than those that serve the needs of the poor. A patent-driven system of research evaluation, on its own, would tend
to marginalise poorer communities and their needs.

At the very least, a forward-looking Bill would need to address and incorporate the need for non-proprietary methods of production, as this is now mainstream in world thinking and policy-making.

Governments across the world, including the UK, the USA, the EU, and Australia, have convened commissions to discuss and explore this issue. Ironically, South Africa is part of this movement and is a signatory of the OECD Declaration on Access to Research Data from Public Funding , something that would be rendered problematic by this Bill.

Something that the non-proprietary, commons approach is doing in the international arena is re-positioning the developing countries. A symptom is that the Development Agenda being driven by Brazil and Argentina has very recently been accepted on the WIPO Agenda. As Yochai Benkler charted in a complex and tightly-argued paper at the iCommons Summit in Dubrovnik last month, this but one symptom of the fact that we are at one of those turning points where a dominant system – the ‘strong’
IP regime – is being challenged across the globe by a radical re-thinking of how best to achieve the very goals that this Bill
seeks to promote. And, as he argued, this is now a social movement, in the beginning stages, which is moving developing nations from the periphery to the centre of international affairs, a world in which human development and justice are the core drivers, not the specifics of IP law and copyright.

One strong thread in the critiques of the global IP system is that patents in particular are damaging to developing and transitional economies. As Benkler puts it: ‘The above-marginal-cost prices paid in …. poorer countries [as a result of patents] are purely regressive redistribution. The morality of this redistribution from the world’s poor to the world’s rich has never been confronted or defended in the European or American public spheres. It simply goes unnoticed.’ And yes, there is value in effective patents and yes, developing countries have managed to patent successfully themselves. And so my argument is not, in addressing this Bill, that it needs to be thrown out in favour of non-proprietary and open methods of dissemination. It is that, in formulating the Bill as widely as they have, the drafters have sidelined a number of important questions that are being debated around the world as we speak. As the Australian government put it in the Productivity Commission Report:

Universities’ core role remains the provision of teaching and the generation of high quality, openly disseminated, basic research. Even where universities undertake research that has practical applications, it is the transfer, diffusion and utilisation of such knowledge and technology that matters in terms of community well-being. Commercialisation is just one way of achieving this. Productivity Commission
2007: xiii – my emphasis)

In other words, there needs to be more flexibility in the provisions of this Bill for the commercialisation of research results and space for non-proprietary collaborative approaches that could advantage the poorest sections of our community at the same time as we grow our competitiveness in global business.

Intellectual Property in Publicly Funded Research – what the Bill says

The Department of Science and Technology has, as I noted in my last blog, published a Draft Bill on IP in Publicly Funded Research for comment – and comments have to be submitted by 18 July which is next Wednesday. This is causing a scramble among those of us who have an interest in IP issues and particularly those of us who support commons and non-proprietary approaches to knowledge dissemination, especially for developing countries.

First, what the Bill says. What I offer here is a quick and crude summary but Andrew Rens will let us have a human-readable version very soon. I will set out the provisions of the Bill – as I understand them – in this blog and will then go one to reflect on various aspects of this legislation in further blogs. The issues are complex, the time for discussion and submissions very limited, so any responses, arguments and reflections would be very welcome.

Briefly, the Draft Bill requires all publicly funded institutions (which includes all universities) to have an IP Management Office and provides for the creation of a National IP Management Office. (Because my interest is in the universities, this is how I will frame my discussion from here on.)

The Bill provides for the IP in all patentable inventions to reside in the university. If the university does not want to patent a particular invention, then the right passes to the National IP Office. Only if the national office does not want to patent an invention do the rights pass back to the researcher concerned. The Bill also provides for the sharing of rewards in the patented invention.

In other words, it appears to be modeled on the Bayh-Dole Act in the US. But there are also important differences. One is that the SA Bill is more stringent and less flexible. There seem to be fewer rights for the inventor and the Bill extends beyond the protection of patents to ‘copyrights in any work related to patentable inventions’ which also become the IP of the university. This seems to me, as a publisher, to be very wide, as it looks as if the university would have IP and would therefore control for publication purposes a very large number of potential publications. Would a researcher be able to publish, without university permission, a conference paper or journal article on her research even after the patent is registered?

The next move is that the legislation also covers ‘the protection of basic scientific research results that are capable of forming the basis of a patentable invention but are not yet capable of protection under the Patents Act..’ The Minster can extend these categories further by notice in the Government Gazette. In other words, this is a very wide-ranging definition of the IP that will become the property of the university or the State. Because these definitions are vague, it looks as if just about everything could fall under these provisions.

All employees will be deemed to have assigned their IP as defined by the Bill. Employees are defined as including students undertaking research in the institution. The universities and their employees (and students) seem to be obliged to exploit commercially any research that is capable of commercialisation. If they do not, they can be subject to disciplinary action. Any potential IP from research carried out in the university has to be reported to the IP office within 30 days of identification by the researcher.

Then – and this startles me as a publisher – the university IP office has to screen ‘all publications from the institution for potential IP that through publication might lose protection in terms of the Patent Act.’ All publications? I ask. That would mean journal articles, conference papers, chapters in books, research reports, etc, before they are published. Because a ‘publication’ is not defined, it probably means blogs, website, online discussion forums as well. In other words, researchers are constrained from communication until their work has been vetted by the IP office to ensure that they are not revealing something about a potential patent. I cannot imagine this being carried out unless the university hires teams of specialist people to scan all publications at pre-publication stage. This would surely have s seriously chilling effect on publication and this is turn would impact negatively on the revenues that the universities get from their publication subsidies, which are an important revenue stream for them.

It is the institution, in consultation with the national IP office, that decides the licence conditions for an invention, not the researcher concerned. Exclusive licensing is preferred.

Where research is co-financed, there are very specific provisions as to how the IP for these funded research projects shall be managed. It appears that funders would not be able to stipulate that IP should be exploited any other way other than commercially, through patenting. The funder can only become a co-owner or IP holder if they are in a position to commercialise the the IP. This section does not appear to provide for non-profit bodies and I question whether this is not going to be a serious disincentive for donor funders who currently invest in South African research.

It also looks as if, given the copyright provisions in this Bill, that stipulations and mandates from funders for Open Access dissemination would be seriously constrained.

These are serious issues, but before we go ballistic and start taking all this apart, we need to step back and consider why the very good department enacting this legislation is considering such draconian provisions. That is another story – – – next thrilling installment in my next blog.

A new draft bill on IP rights in publicly funded research

We have known for a while that there was a bill in the offing on the management of IP in publicly funded research and this Draft Bill is now available for perusal on the website of the Parliamentary Monitoring Group. The Deputy Minister of Science and
Technology, when he visited CET, said that there would be a period for comment on the Bill and, as this draft Bill does affect
universities and researchers in universities, I am providing a heads-up for those of you who have a particular interest in the
management and ownership of the IP in the research that you carry out.

I was half expecting a Bill on the rights of public access to publicly funded research, along the lines of discussions in the UK,
the USA and the EU, among others, for access to research publication. South Africa is a signatory of the OECD
Declaration on Access to Knowledge from Publicly Funded Research
, so probably needs to enact provisions of this kind at some stage.

This Draft Bill is not along those lines at all. It appears to be about institutional and government control of the commericalisation of research and provisions for any research that is potentially patentable. I have not had time to peruse it properly nor think through its implications – these in any event probably need to be teased out by an IP lawyer. However, it would be interesting to get reactions from researchers at UCT and other universities as to how they perceive this Draft Bill and how it might affect them.

The Australian government’s Productivity Commission has recently undertaken a major exercise on returns from public investment in research and there is much discussion in the 800-odd pages of its report, issued in March 2007, about the kind of issues faced in this Draft Bill. From my perspective, as someone who deals in copyrights – the dissemination of research – rather than in patents, the following statement struck a chord:

Ultimately, in terms of community well being, it is the transfer, diffusion and utilisation of knowledge and technology
that matters. The social return from public investment in R&D depends on: whether knowledge and technology are transferred out of universities (that is, whether they see the light of day); how fast and widely the knowledge diffuses among potential users; whether the knowledge and technology is developed into some form of practical application (that is, whether it is taken up in some form or other that is welfare enhancing); and how widely the resulting innovation is utilised. There
are multiple pathways for achieving these benefits (p.280).

African Universities Leaders Forum proceedings now online

A lot of interest was shown among my colleagues in a variety of organisations in the Frontiers of Knowledge Forum hosted by the University of Cape Town last November – another sign of the increased activity in African higher education and the particular interest in the role of ICT in African higher education. The Partnership for Higher Education in Africa (PHEA), which sponsored the forum, has now put the Forum documentation online, so that there is a full record available of the proceedings, the papers delivered, and the recommendations of the Forum. The documents also include a commissioned paper by Dick Ng’ambi of the Centre for Educational Technology at UCT on ICT and economic development in Africa; the role of higher education institutions.

This was the inaugural meeting of the African University Leaders Forum at which Vice-Chancellors of fifteen African Universities met in Cape Town to discuss the role of higher education in promoting economic growth in Africa. They focused in particular – to quote the website – ‘on the immense potential of information and communication technologies to transform the teaching, learning, and research environments in African universities, and the capacity of those technologies to stimulate large changes in Africa’s growing economies.’

The Forum took an aggressive line on the need for connectivity and broadband access in African universities as a basic requirement for national advancement – rather than a luxury. There was general agreement on the need to grow the level of African research output and to disseminate it better. In the in the final recommendations, the recommendation for the management of African knowledge contains an implicit endorsement of communication technologies open access:

African higher education institutions can play a leadership role in developing new institutions and business models for knowledge dissemination at the African and global levels. Some of the existing North American and European institutions can act as barriers to realizing the potential of African knowledge, and are under severe pressure themselves from the advance of open source and open access approaches.

Another recommendation was that African universities should ‘also develop new ways to take advantage of the increasing availability and quality of open educational resources at the international level.’

These are the challenges identified by the vice-chancellors at the close of the Forum:

  • Africa’s greatest asset is its human talent
  • Harnessing this talent will require new and large investment at all levels of education
  • Information and knowledge are the greatest contemporary levers of sustainable development
  • This recognition underscores the cardinal role of higher education
  • The
    fullest benefits of higher education will be in greater equitable
    access, high quality teaching and research infrastructure, greater
    institutional autonomy within a framework of public accountability
  • Greater
    economic growth will occur in a more participative human environment
    and in more deregulated economies which allow for greater social
    inventiveness
  • A key historic feature of modern Africa is the emergent and increasingly vibrant African private sector
  • African higher education must engage closely with this emergent sector
  • Working
    with government, the private sector, and civil society, higher
    education must press for a high intensity information and communication
    technology environment across the African continent
  • Networked African universities must consolidate their role at the centre of a new and changing continent