Managing Research and Analysis
While the IPOD process aims to develop a holistic and comprehensive picture of the management and operations of the IP office, the research and analysis process itself needs initially to focus on each of the individual aspects of the management and operations of the IP office.
To assist with the research and analysis of each of the individual areas, the Methodology sets out in Appendix 1, a series of Topics structured to provide a consistent and coherent approach to a full and complete analysis of the operations and responsibilities of an IP office. The primary structure of the Topics is focussed around the various management and operational responsibilities of a typical IP office. The coverage of the ten Topics in Appendix 1 as follows:
Topic
1: Governance of the IP Office
The first Topic guides the development of an analysis of the governance context of the IP office (including international comparisons where relevant): its placement and mandate within the wider government context; its management authority within its wider ministry; and its internal management arrangements and governance. The description and analysis of governance issues is designed to identify and analyse the fundamental business model options for the IP office. This topic also contains a short discussion on some issues around the internal structure of the IP office, identifying ways in which changes in structure can improve operational performance and efficiency.
Topic 2: Management of
Policy Development
The second Topic guides the analysis of the role of the IP office in IP policy development. How IP policy is managed and developed within the context of the individual country has important implications for the management and operations of the IP office and needs to be properly described and understood as part of the IP office diagnostic process.
Topic
3: Management of International Relations
The third Topic discusses the role of international relations within the broader IP system and the key issues that arise for an IP office which flow from how international relations are managed with regard to IP and within the IP office itself. The IP system and much of its operational character is governed by international IP treaties which therefore provide the context for the operations of the IP office. Furthermore, most IP offices have regional and bi-lateral international agreements covering various aspects of the IP office’s responsibilities which also impinge on any assessment of the efficiency and effectiveness of the management and operations of the IP office.
Topic
4: Management of Human Resources
This Topic provides guidance on how to research and analyze key aspects of how the IP office manages a range of human resource issues, including training, recruitment, performance management, and remuneration. For many IP offices, this is often a shared responsibility with other parts of a larger agency. These are critical areas for the efficiency and effectiveness of the IP office and they need to be analyzed and understood, especially the implications for the efficiency and effectiveness of the IP office of how they can be managed.
Topic
5: Management of Finance and Budget
Another critical management responsibility relates to the allocation and control of financial resources. As with human resource management, for many IP offices this is often a shared responsibility with other parts of a larger agency. This Topic provides guidance on how to analyze the arrangements that are in place and how to identify possible options for improvement which will improve the operational effectiveness of the IP office.
Topic
6: Management of General Administration
Many of the operational aspects of an IP office depend on how the basics of an office are managed – facilities management, records management and particularly management of the provision of information technology and communication (ITC) services are all central to the operations of an IP office. This Topic guides the analysis of each of these areas to help identify where issues may need addressing.
Topic
7: Management of IP Rights Processing
In many ways, Topic 7 covers the heart of the operations of an IP office. Under a general guidance section on the importance of analyzing each of these operations, there is a series of sub-Topics providing guidance to the analysis of each of the individual types of IP rights which an IP office may be responsible for (recognizing that not all IP offices will be responsible for all these types of IP rights). The analysis of the efficiency and effectiveness of these operations will drive much of the focus in any final report. Each of the Topic guides for each of the rights in Appendix 1 provides an approach to uncover issues which may need to be addressed to improve outcomes for customers and stakeholders, as well as improve the efficiency and effectiveness of the operations of the area.
The list below focuses on the main operations of most IP offices and is not meant to be exhaustive. The less common rights such as trade secrets and the design of integrated circuits, for example, have not been included.
Topic
7(a): Patents
Topic
7(b): Trademarks
Topic
7(c): Industrial Designs
Topic
7(d): Plant Variety Rights
Topic
7(e): Geographical Indications
Topic
7(f): Copyright and Related Rights
A critical focus for the diagnostic Methodology in all of the rights
processing areas is to carefully examine step-by-step the procedures and
processes in each area to identify opportunities for optimization of the
workflows to improve the efficiency and effectiveness of the processing
undertaken in the area under examination.
For example, the Methodology looks at the requirements imposed by the
relevant legislation and also at the way the IP office implements those
requirements. One important aspect is to assess whether the processes are
effective and efficient in the implementation, and also whether the processes
have any features not required by the legislation. It is not unusual for such
unnecessary features to develop through custom and practice, rather than
necessity, and for such features to adversely impact the efficiency of the
processes. In this way, unnecessary checks and delays can hinder the smooth
transition of work through the process. Tackling these can provide significant
benefits to the IP office’s performance.
The topic
examines how IT is used to assist and facilitate operations. In addition to
looking at the functionality in specific areas, it also raises questions as to
whether IT is user friendly, with an effective user interface, whether it fits
with actual working processes, and whether it could be better used to improve
the efficiency of processes.
Topic
8: Management of Customer Relations
IP offices primarily provide services to applicants and other users of the IP system. How the IP office manages its relations with its customers is therefore a critical aspect of its role and responsibilities. This Topic provides guidance on how to anaylze the way in which the IP office manages this critical responsibility.
Topic
9: Management of Public Outreach
The IP system touches many aspects of the economic and cultural life of a community, yet it is often poorly understood. Most IP offices therefore are responsible for programs of public outreach to improve the general understanding within their local community of the role and value of the IP system. This Topic guides an analysis of how this responsibility is carried out by the IP office and how to identify where improvements may be desirable.
Topic
10: Management of IP Education
The final Topic looks beyond broad public awareness activities and explores the potential responsibilities of an IP office for ensuring that key sectors and stakeholders have an opportunity to receive education in relation to IP matters to assist them to better utilize the system and to better fulfill their respective roles in the IP ecosystem within the country. Again, there is guidance on how to analyze the local context and identify where and how improvements may be possible.
For each of these Topics, the guides in Appendix 1 follow a consistent pattern which suggests that the analysis should approach each area of management responsibility with a “Why”, “What”, “How” framework. For each of the Topics, the guides outline “The Why” which provides the key justifications (the relevant theoretical background relating to management improvement in the particular area – the rationale) for examining the scope for improvements in this particular area of responsibility. “The What” in each Topic guide outlines the desirable level of detail that needs to be researched and analyzed for each of the areas of responsibility. “The How” in each Topic guide provides information, resources and guidance on how to go about researching and analyzing the particular area of responsibility.