Tài liệu The Handbook of EUROPEAN INTELLECTUAL PROPERTY MANAGEMENT pptx

8 1.2 The strategic role of IP in European business 14 Ed Round, Marks & Clerk 1.3 IP in the knowledge economy 21 Bo Heiden and Ulf Petrusson, CIP From blocking to building block 21; Man

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EUROPEAN INTELLECTUAL PROPERTY

MANAGEMENT

The Handbook of

Intellectual Property_HP.qxd 1/6/07 5:20 pm Page 1

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ADAM JOLLY & JEREMY PHILPOTT

Developing, Managing and Protecting your Company’s Intellectual Property

EUROPEAN INTELLECTUAL PROPERTY

MANAGEMENT

The Handbook of

London and Philadelphia

In association with Intellectual Property_TP.qxd 1/6/07 5:32 pm Page 1

Publisher’s note

Every possible effort has been made to ensure that the information contained in this book is accurate

at the time of going to press, and the publishers and authors cannot accept responsibility for any errors or omissions, however caused No responsibility for loss or damage occasioned to any person acting, or refraining from action, as a result of the material in this publication can be accepted by the editor, the publisher or any of the authors.

The views expressed in this book are those of the authors and are not necessarily the same as those of the European Patent Office or Kogan Page The opinions expressed in the book should not be relied upon as formal legal advice, and proper legal counsel should be sought in relation to intellectual property matters.

First published in Great Britain and the United States in 2007 by Kogan Page Limited

Apart from any fair dealing for the purposes of research or private study, or criticism or review,

as permitted under the Copyright, Designs and Patents Act 1988, this publication may only be reproduced, stored or transmitted, in any form or by any means, with the prior permission in writing

of the publishers, or in the case of reprographic reproduction in accordance with the terms and licences issued by the CLA Enquiries concerning reproduction outside these terms should be sent to the publishers at the undermentioned addresses:

120 Pentonville Road 525 South 4th Street, #241

www.kogan-page.co.uk

© Kogan Page and individual contributors, 2007

The right of Adam Jolly, Jeremy Philpott and the individual contributors to be identified as the authors of this work has been asserted by them in accordance with the Copyright, Designs and Patents Act 1988.

ISBN-10 0 7494 4988 8

ISBN-13 978 0 7494 4988 9

British Library Cataloguing-in-Publication Data

A CIP record for this book is available from the British Library.

Library of Congress Cataloging-in-Publication Data

Typeset by JS Typesetting Ltd, Porthcawl, Mid Glamorgan

Printed and bound in Great Britain by Thanet Press Ltd, Margate

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The European Union – but not only the European Union 4; The new

EU-wide integrated IPRS: big success and much use 5; Partly integrated rights: harmonized rights can sometimes be of real help to companies 6; The European Patent Organisation: a convenient European alternative

route for obtaining patents 7; What about the future? 8

1.2 The strategic role of IP in European business 14

Ed Round, Marks & Clerk

1.3 IP in the knowledge economy 21

Bo Heiden and Ulf Petrusson, CIP

From blocking to building block 21; Managing (intellectual) assets,

property and capital 22; The transformation to knowledge-based business models 23; A framework for developing knowledge-based business

models 24

1.4 IP and open innovation 26

Hélène Raybaud and Yves Morel, Schlumberger

Open innovation: the new equation of globalization 26; Open innovation

at Schlumberger 28; IPR and open innovation 28; In conclusion 30

1.5 Managing patents as assets 32

Lars Kellberg, Novo Nordisk

Getting the most valuable patents 32; From core technology to marketing claims and unique selling points 34; Securing freedom to operate through

an enhanced bargaining position 35; Successful execution is at least as important as designing the strategy 35; Drafting patent applications for worldwide protection 36

1.6 Europe’s different IP cultures 39

William Bird, Bird Goën

Part 2 Acquisition of IP rights in Europe 47

2.1 Patents 51

Peter Indahl, International Patent Bureau

Integrate the filing strategy with your business plan 53; Your company size and position in the market 53; The patent offices available in

Europe 54; Substantive examination or pure registration 55; The first

filing: national or European 55; The first filing: international 56; Quality

of the first filing 56

2.2 Trade marks 57

Gabriella Modiano, Modiano Josif Pisanty & Staub

All roads lead to Europe 57; National filing system 57; The international trade mark system 60; The CTM system: Europe’s unitary answer 60;

A unitary (and unique) weapon against potential infringers in the

European Union 61; The (positive) fate of historical national trade mark applications: the creation of ‘seniority’ 62; A single market: use in few countries, valid in 27 states 62; The expansion of the CTM in an ever-

growing Europe 62

2.3 Copyright in Europe 65

Jan Nilsson, Strưm & Gulliksson Intellectual Property Consulting

Copyright protection 65; Legal provisions 66; Rights to a work under

copyright protection 66; Free use of works 67; The copyright symbol

© 67; Legal measures against infringers 67; UK copyright law 68;

French copyright law 69; New developments 69

2.4 Designs 71

Elisabeth Murray, Mathys & Squire

What is a design? 72; Legal protection for designs in the European

Union 72; Protection of designs under the Community Design

Regulation 73; Rights obtained under the Community Design

Regulation 73; Taking action against infringement 74; Benefits of

registration under the Community Design Regulation 74; Applying for registration 74; When to file 75; Third parties’ rights 75; Summary 76

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What is a trade secret? 81; How does a trade secret differ from

confidential information? 84; What information can constitute a trade

secret? 85; How does the law protect trade secrets? 85; International

recognition of trade secret protection 86; Trade secrets and confidential information – some practical suggestions 87

Part 3 Commercializing IP in Europe 93

3.1 Innovation rights 98

Jean-Louis Somnier, Novagraaf Technologies

Innovation: a holistic view, going beyond technology alone 100; Entering Europe with an innovation: options for IP rights (IPR) protection 100; IP protection of an innovation: a critical business decision 101

3.2 Building an international knowledge business 103

Christina Nordström, Swedish Patent and Registration Office

ClimateWell 103; Elekta 105

Feature: international innovation 107

Italian Patent and Trademark Office

3.3 IP and proof of concept 109

Dan Richardson and Dr Paul McEvoy, Technology from Ideas, and

Cathal Lane, Tomkins & Co

Environment and people 109; Sourcing ideas 110; Selection/filtering 110; Development 112; Key activities 113; Sale 115; Summary and future

trends 115

3.4 Business–university collaboration 117

Lawrence Cullen, UK Intellectual Property Office

Purpose 118; The Toolkit 118; Using the Toolkit 124; Use of the

Toolkit 125; Recent updates 126; Collaboration in Europe 126; The

future: business-to-business model agreements 126; Conclusion 128

3.5 Managing IP in collaborative ventures 129

Martin A Bader, BGW AG Management Advisory Group

Collaboration = dilution of intellectual assets? 129; Collaborative success factors 130; Conclusions 133

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3.6 Licensing as a growth strategy in Europe 135

Martin Sandford, Licensing Executives Society, Great Britain & Ireland

Risk perspective 135; Intellectual property (IP) 136; What is a licence? 137; Licensee selection 137; Common pitfalls – what can go wrong 137; When would licensing be inappropriate? 138; Conclusions 138

3.7 Innovation support in the new Europe 139

Éva Bakos and András Haszonits, Hungarian Patent Office

Situation of Hungarian SMEs according to the VIVACE Survey

2006 140; Economic incentives for innovation and the application of

IPR 143; The VIVACE programme 145; Conclusions 145

Part 4 Technology and patents 147

4.1 Creating a patent position in Europe 152

Alan Senior, J A Kemp & Co

The building blocks 154; Litigation 155; Building a position with the

blocks 156

4.2 European patents: differences from the United States 163

Timothy J May and Beth Z Shaw, Finnegan Henderson

Introduction 163; Filing and prosecuting patent applications in the

United States and Europe 164; Post-grant procedures 166; Litigation/

enforcement 167

4.3 Prior art searching 169

Dean Parry, Patent Seekers

It’s a complex system 169; The standard route to gaining a patent 169; How does a patent office process your patent application? 170; Common misconceptions 172; Light at the end of the tunnel 172; A few helpful

suggestions 172

Feature: Assisted patent searches 175

Professor Heinz Muller and Dr Alban Fischer, Swiss Federal Institute of Intellectual Property

4.4 Portfolio building 179

Sue Scott, Abel & Imray

How to develop your filing strategy 179; In which countries should you file patent applications? 180; The value of different types of claim 182; Claim types: a pharmaceutical case study 182; Portfolio review 185;

Conclusion 186

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4.5 Patent exceptions 187

John Brunner and James Warner, Carpmaels & Ransford

Medical inventions at the EPO 188; Computer software at the EPO 189; Patents for plant and animal varieties at the EPO 190; Summary 192

4.6 Patent clearances 194

Micaela Modiano, Modiano Josif Pisanty & Staub

European opposition: a single procedure and a single result 195;

Third party observations: steering prosecution at no cost 196; Double

attack 196; Summary 197

4.7 Patents on a budget 198

Keith Loven, Loven & Co

Do you have an invention? 198; Do you need a patent? 200; Decide on a sensible patenting strategy 201

Part 5 Creative and digital rights 207

5.1 Issues in European copyright 209

Andrew Yeates, Sheridans

The benefit of flexibility for copyright 209; To harmonize or not to

harmonize, that is the question 210; Gowers Review of Intellectual

Property 211; Summary 213

5.2 Copyright and the digital economy 215

Emanuel Meyer, Swiss Federal Institute of Intellectual Property

5.3 Digital policy management 221

Mark Isherwood, Rightscom

Defining the problem 221; Digital policy management 222; Some DPM building blocks 223; Standards development and interoperability 224

5.4 Digital distribution and Creative Commons 226

Paula le Dieu, Magic Lantern Productions

Copyright – the Swiss army knife of distribution tools 226; Creative

Commons – some rights reserved 227; Magnatunes 228; DRM – the

sledgehammer of distribution tools 228

Part 6 Brands and trade marks 231

6.1 Taking products and services to market across Europe 236

Brian Morgan and Esther Gottschalk, Marks & Clerk

Before a launch 237; After a launch 238

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6.2 Managing brand and design portfolios in Europe 240

Silas Brown, Briffa

Trade mark protection 241; Registered designs 242; A balance of risks 243; Conclusion 244

6.3 Building a strong (European) trade mark 246

Sofia Arenal, Mewburn Ellis LLP

Selection 246; Registration 248; Beyond registration 250

6.4 Defending brands 252

Lisa Lovell, Brand Enforcement

Awareness 252; Intelligence 254; Enforcement 255; Periodically revise your IP enforcement strategy 255; The benefits of implementing a

consistent IP enforcement strategy 256

Part 7 Company knowledge 261

7.1 Intellectual assets management 263

Iain Russell, Intellectual Assets Centre

The knowledge gap 263; Why is this important to businesses? 263;

Why are these assets ‘hidden’ and does it matter? 265; Why focus on

IA management and what does it encompass? 265; How to manage

intellectual assets 266; How to measure and communicate value 267;

Which approach should be adopted? 269; What about the future? 269

7.2 Inventions by employees 270

Walter Holzer, GMX

7.3 IP and the web 274

Silas Brown, Briffa

Trade marks on the web 274; Master of your domain 275; Digital content

on the web 276; Conclusion 278

7.4 Database rights 280

Robert Lands, Finers Stephens Innocent LLP

The database right 281; The British Horseracing Board case 282

Part 8 IP as an asset 285

8.1 Valuing IP, intangibles and goodwill 287

Kelvin King, Valuation Consulting

Relevant accounting standards 288; Corporate governance 289; IPR

and the valuation expert 289; Methods for the valuation of IPR 290;

Conclusion 292

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8.2 Brand valuation 294

David Haigh, Brand Finance

Approaches to ‘brand’ valuation 295; Steps in an economic use

valuation 296; ‘Existing use to existing owner’ 297; Conclusions 297

8.3 The monetization of intellectual property 299

Guido von Scheffer, Stephan Lipfert and Juliane Ostler, IP Bewertungs

General questions 299; The capital market’s view of R&D 300;

Intermediates and external IP logistics 300; Patent value funds

(PVF) 301; Alternative commercialization options – patent live

auctions 302

8.4 Patent evaluation 305

Poul-Erik Nielsen, Danish Patent and Trademark Office

Patents as a strategic weapon 305; Substantial content of IPscore

2.0® 306; Evaluation methodology for IPscore 2.0® 306

Part 9 IP and corporate finance 309

9.1 Raising finance through IP 311

Hugh Dunlop, R G C Jenkins & Co

IP assets from early-stage investment to IPO 311; Raising seed

capital 312; Beyond seed capital – venture capital 314; Summary of IP assets 316

9.2 Investors and IP risks 318

Peter Finnie, Gill Jennings & Every LLP

A risk management approach to IP 318; A structured approach 319; IP

strategy 321; Conclusions 322

9.3 IP and acquisitions 323

Omar Baki, Ann Danared, Barry Franks, Anders Holmberg and Peder Oxhammar, Brann Patentbyrå AB

Important questions 324; Levels of analysis 325; Due diligence

process 327; The due diligence report 328

9.4 IP and private equity 329

Malte Köllner, Triangle Venture Capital Group

Part 10 Selected IP jurisdictions 333

10.1 Germany 335

Christoph de Coster, Taylor Wessing

Split court system in patent matters 335; Prosecution proceedings –

 xxvi CONTENTS

almost harmonized 336; Enforcement of patents 336; Nullity actions 339; Conclusion 339

10.2 The United Kingdom 340

Jacqueline Needle, Beck Greener

The cost and incidence of patent litigation 340; UK litigation

procedures 342; Is the cost of enforcement a reason to avoid

protection? 343; How to avoid litigation 344

10.3 France 346

Christian Nguyen van Yen, Marks & Clerk

10.4 Italy 350

Gabriella Modiano and Micaela Modiano, Dr Modiano & Associati

Using available rights 351; Litigation speeded up 351; Looking to the future 352

Feature: Changes in the Italian IP system 354

Italian Patent and Trademark Office

10.5 Spain 356

Miguel Vidal-Quadras Trias de Bes, Amat i Vidal-Quadras Advocats

Changes in the regulations related to IP 356; Changes in litigation

regulations and judicial proceedings 357; Changes in the IP agents 358; Conclusions 358

10.6 The Nordic countries 360

Annelise Holme, Holme Patent A/S

Denmark 360; Finland 364; Sweden 364; Norway 365

10.7 Benelux 367

Bernhard Kügele, Novagraaf (International) and Pieter de Ruijter,

Novagraaf (Netherlands)

The Netherlands 367; Belgium 373; Luxembourg 373; European

Patents 373; Cost 374; Court proceedings 374; Trade marks in

Benelux 374

10.8 Ireland 377

Olivia Catesby, Tomkins & Co

10.9 The accession states 380

Michael Blakeney, Queen Mary Intellectual Property Research Institute, University of London

Accession 380; Former Communist countries 381; Case studies 382

_ CONTENTS xxvii 

Feature: IP in Slovenia 384

Janez Kukec Mezek, Slovenian Intellectual Property Office

Part 11 IP protection 393

11.1 Litigation strategies for European IP registered rights 395

Georgie Collins, Bevan Brittan

Pan-European patent injunctions – past, present and future 395;

Community Trade Marks and Community Design Right 397; The future: COMPAT, EPLA and the Enforcement Directive 397; Considerations

when deciding where to litigate 398; Checklist of key strategies for a

claimant 398; Checklist of key strategies for a defendant 399

11.2 Differences in patent litigation 401

Nigel Stoate, Simon Cohen and Matthew Burman,Taylor Wessing

The legal system 403; Disclosure 403; Evidence 403; Cost 404;

Duration 404; Legal aspects 405; EPO proceedings 405;

Conclusion 406

11.3 Opposition at the European Patent Office 407

Alan MacDougall and Chris Hamer, Mathys & Squire

What challenges can be made 407; How to build a case 408; Once you have built a case, what next? 408; What is needed to file the opposition 409; What happens after filing the opposition 409; How long it takes

and how much it costs 409; Help with an opposition 409; Can you get

an award of costs? 410; What happens to a European Patent when an

opposition is pending 410; Can you appeal the decision? 410; What

happens after filing the appeal 410; Can you appeal the Board of Appeal’s decision? 410; Tips for opposition/appeal strategy 411

11.4 IP insurance 413

Matthew Hogg, Kiln

Inherent risks of IP 413; IP value 414; Risk and insurance 414; IP defence insurance 415; IP enforcement insurance 415; IP value insurance 415;

Open source compliance insurance 417; Final Rewards 417

Appendix 1 History, organization and procedures of the European

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AIPPI Association Internationale pour la Protection de la Propriété

Intellectuelle

BOIP Benelux Office for Intellectual Property

BVA brand value added

CBI Confederation of British Industry

CDR Community Design Right

COMPAT Community Patent

CTM Community Trade Mark

DCF Discounted cash flow

DDPAF Association of Danish Patent Agents

DPM digital policy management

DREL Digital rights expression language

DRM digital rights management

DTI UK Department of Trade and Industry

ECJ European Court of Justice

EEA European Economic Area

EPC European Patent Convention

EPLA European Patent Litigation Agreement

EPO European Patent Office

EUCD EU Copyright Directive

FICPI International Federation of Intellectual Property Attorneys

FMV fair market value

GATT General Agreement on Tariffs and Trade

GPL general public licence

HABU highest and best use

HPO Hungarian Patent Office

IA intellectual assets

IAM intellectual asset management

IAS International Accounting Standard

IASB International Accounting Standards Board

IC intellectual capital

ICM intellectual capital management

IFRS International Financial Reporting Standard

IGE Swiss Federal Institute of Intellectual Property

INPI French National Intellectual Property Office

IP intellectual property

IPCG Intellectual Property Crime Group (UK)

IPM intellectual property management

IPO initial public offering

IPR intellectual property right

LES Licensing Executives Society

LESI Licensing Executives Society International

LMA Lambert Model Agreement

NPV net present value

OD Opposition Division of the EPO

OECD Organization of Economic Cooperation and Development

OHIM Office for Harmonization in the Internal Market

OUR other useful resources

PCT Patent Cooperation Treaty

PE private equity

PHARE Pologne, Hongrie Assistance à la Reconstruction Economique

PRV Swedish Patent and Registration Office

PVF patent value funds

R&D research and development

RDA regional development agency (UK)

ROI return on investment

SIAE Società Italiana degli Autori ed Editori

SIPO Slovenian Intellectual Property Office

SRL system readiness level

SRPC Schlumberger-Riboud Product Center

TPM technological protection measure

TRIPS Agreement on Trade-Related Aspects of Intellectual Property RightsTRL technology readiness level

UIBM Italian National Patent and Trademark Office

UKIPO UK Intellectual Property Office

USPTO US Patent and Trademark Office

USTR US Trade Representative

VC venture capital(ist)

WIPO World Intellectual Property Organization

WTO World Trade Organization

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