11/12/2024
In Europe, universities serve as increasingly dynamic hubs of invention. Without the foundational and applied research conducted in universities, breakthrough inventions – such as the polio vaccine, 3D printing technology, laser innovations, and artificial intelligence – might never have come to life.
Therefore, the role of Intellectual Property (IP) management in universities is essential – as it is through IP that research in universities is transferred, applied and ultimately commercialised in industry [1].
However, the journey from academia to industry remains fraught with obstacles. Although European universities now contribute over 10% of patent applications to the European Patent Office (EPO), transforming these academic inventions into commercial applications remains a challenge [2].
The EPO recently examined this issue (Valorisation of scientific results’ (EPO, 2020)) and the results revealed that over 20% of the patents/applications filed by universities had no exploitation planned and were consequently left unused. This finding underscores the need for more robust strategies in IP management and technology transfer to ensure that patents are effectively leveraged to foster economic and societal development.
These challenges have been highlighted in a new report co-published by the Fraunhofer Institute for Systems and Innovation Research (ISI) and the EPO, titled ‘The Role of European Universities in Patenting and Innovation’ (see here).
The report addresses key questions on the profiles of over 1200 universities that have generated academic patents over the last two decades, the balance struck between direct ownership and third-party ownership, and external partners involved in developing and exploiting these inventions [3].Some of these key findings are summarised below.
Overview of general academic patenting in Europe
There is wide diversity in the number of European patent applications filed over the period 2000–2020 (Figure 2.1.2). Nearly two-thirds of universities (63%) filed less than one patent application per year on average, accounting in total for only 8% of all European patent applications filed by European universities.
Universities that filed between 20 and 250 applications over the period represent another third (33%) of all patenting universities. The remaining 5% are leading university applicants with the EPO, accounting alone for more than half (52%) of the patent applications originating from European universities in the period 2000–2020. The top three universities for EP filings between 2000 and 2020 were TU München, Universite Grenoble Alpes, and Oxford University. The Top three universities by number of start-ups with academic patent applications are ETH Zurich, Cambridge University, and Lunds University.
The patent data shows, however, that larger universities with well-established knowledge transfer offices account for a greater share of academic patents and related technology transfers. The same universities also generate more revenues and license a larger share of their patent families than other universities.
Technology fields of academic patents
Figure 2.4.1 shows the distribution of academic patents across 35 broad technological fields. Academic patents appear to be over-represented in the medical, and electronics sectors, whilst universities are relatively less active in more engineering-focused sectors.
Academic patenting across European countries and regions
The distribution of academic patents also heavily depends on regional factors. Wealthier, more dynamic regions in Western Europe, often identified as leading innovation clusters, have the highest number of academic patents and host universities with the largest and most science-orientated patent portfolios. Table 3.1.1 summarises the distribution of universities and related academic patents (pooling both indirect patent applications and direct patent applications) across European countries.
Interestingly, those universities contribute relatively little to the overall patent landscape of their respective regions, with industry accounting for the majority of filings. In less dynamic regions, particularly in rural areas and Southern, Eastern, and Central Europe, the total patent output of universities is lower and tends to be focused on applied sciences and engineering universities. However, these universities appear to play an even more central role in the innovation ecosystem, with a large share of local patent applications.
Figure 3.1.2 showcases this by casting the number of academic patents per capita in each country against GDP per capita.
Direct vs indirect patents
In the past, indirect patent applications – those filed by industry partners, research collaborators, or individual researchers – exceeded those filed directly by universities. However, this trend has shifted. Since the early 2000s, universities in most European countries have increasingly secured ownership rights over IP produced by their researchers.
In 2003 only one-third of academic inventions were patented directly by the inventor’s university in comparison to 2019 where direct patent applications represented 45% of academic patents. This trend has been supported by various reforms aiming to foster the commercialisation of academic inventions, such as the abolition of professor’s privilege in several countries.¹ Perhaps, this trend is also supported by the fact that university become more savvy and setting up tech transfer offices. Nevertheless, important differences between European countries persist. Sweden and other Nordic countries have a different model, with a high number of academic patents per researcher but only a small proportion of (often highly cited) academic patents directly filed by universities. In other countries, such as France and Belgium, universities file most of the academic patents, often with large public research organisations as co-applicants (as seen in Figure 3.2.2).
Start-ups and academic patents
SMEs represent a majority of both company applicants for indirect applications and company co-applicants of universities. Among them, start-ups are of particular interest as vehicles for technology commercialisation.
Using the Dealroom database, a total of 3 077 European start-ups were identified as applicants for academic patents over the period 2000–2020. In the more recent period of 2015–2019, 1 580 of these start-ups filed European patent applications, accounting for about 12% of all academic patents, providing a valuable measure of the impact of universities on start-up ecosystems across Europe.
The distribution of these start-ups and patents between countries in the period 2015–2019 is shown in Figure 4.3.1. This shows that France (264 start-ups), Germany (184) and Italy (152) are the leading countries within the EU27, while the UK (281) and Switzerland (160) top the ranking for non-EU countries. It is also noteworthy that 10% of the start-ups based in the US, have filed patent applications on academic inventions stemming from European universities, suggesting European technology ventures may be an attractive proposition for the US market.
Cross border collaboration
Collaborative projects are common in the academic sector, where universities and research partners, such as Public Research Organisations (PROs), collaborate to advance innovation leading to several entities filing a joint application
Co-applications by universities and their research partners represented 17% of all academic patents and 36% of the European patent applications directly filed by universities in the period 2015–2019.
Despite the collaborative nature of these patents, data indicates that firms and research partners who benefit from university innovations are typically based within the same country as the university itself. In fact, around 80% of co-applicants are based in the same countries as their partner universities, with most others located in other European nations. This underlines the national orientation of university collaborations involving co-applications, and the importance of country-level institutions in the organisation of university research in Europe.
Efforts to build a more interconnected research landscape across Europe have been ongoing, but substantial progress has yet to be seen. The recent implementation of the Unitary Patent in 2023 marks a step toward facilitating these connections by simplifying the patent process across UPC member states. However, for this initiative to be truly effective, European universities must also embrace collaboration beyond national borders, fostering partnerships that enhance innovation and knowledge transfer across the continent.
Conclusion
This study underscores the increasingly essential role European universities play in the patenting landscape. As they increasingly contribute to patent applications, the potential for transforming ground-breaking research into commercial success becomes clearer. However, challenges persist, particularly in bridging the gap between academia and industry and highlighting a pressing need for enhanced collaboration and a more integrated approach to IP management across borders.
[1] https://link.epo.org/web/publications/studies/en-the-role-of-european-universities-in-patenting-and-innovation.pdf (pg.22)
[2] https://link.epo.org/web/publications/studies/en-the-role-of-european-universities-in-patenting-and-innovation.pdf (pg.35)
[3] https://link.epo.org/web/publications/studies/en-the-role-of-european-universities-in-patenting-and-innovation.pdf(pg.2)
This article is for general information only. Its content is not a statement of the law on any subject and does not constitute advice. Please contact Reddie & Grose LLP for advice before taking any action in reliance on it.
