Patent Management: Protecting Intellectual Property and Innovation

Preface
Endorsements
Contents
About the Authors
1: Fundamentals of Intellectual Property Rights
	1.1 Creating Value by Generating Innovation
		Globalization of Competition
		Explosion of Technical Knowledge
		Technological Fusion
		Decentralization of Knowledge
		Increase in the Cost of Innovation
		Innovations in Business Models
		Shorter Innovation Cycles and Faster Diffusion
	1.2 Capturing Value by Protecting Innovation
		Patents and the Economy
		Patents Leverage Competitive Advantage
		Strategic Management of Patents
			Generation
			Valuation
			Exploitation
		Creation of Competitive Advantages
			Strategy
			Processes
			Methods
			Structure
			Culture
				Competitive Advantages
		Capture of Competitive Advantages
			Industry Specifics
			Resources
			Product Specifics
			Technological Maturity
			Country Specifics
		Aligning with Products, Technologies, Services, and Business Models
	1.3 Types of Intellectual Property Rights
		Patents
			What Is a Patent?
			Prior Art
			Patents Are Exclusionary Rights
		Supplementary Protection Certificates for Pharmaceuticals (SPCs)
		Utility Models
		Design Patents
			Legal Dispute About Design: Apple versus Samsung
		Topography
		Plant Breeders´ Rights (PBRs)/Plant Variety Rights (PVRs)
		Trademarks and Similar Rights
			Trademarks: Some Special Cases
		Domain Names
		Trade Dress
		Copyrights
			Copyright Law
		Trade Secrets
	References
2: Protection Strategies
	2.1 Patent Strategies in General
		Strategy
		Preconditions for a Patent Strategy
		Patent Strategy
	2.2 Offensive and Defensive Patent Strategies
		Offensive Patent Strategies
		Defensive Patent Strategies
		Offensive/Defensive Patent Strategies
			The 10 Patent Management Principles of Geberit
	2.3 Core Dimensions of Patent Strategies
		Goal 1: Ensuring Freedom-to-Operate
			Develop Products Outside Reach of Third Parties
			Defending Against Infringement Action
			Design Access
				Licensing-In
					Licensing at Google
				Cross-Licensing
					Patent License Exchange Between SAP and Microsoft
				Opposition and Invalidation Actions
		Goal 2: Differentiation by Applying Own Intellectual Property
		Goal 3: Multiplier Effect Through Licensing Revenues
		Case Study: Julius Blum GmbH
	2.4 Cost of Patents
		Cost-Benefit-Ratio
	2.5 Complementary Strategies to Patenting
		Defensive Publication
			Loss of Novelty
				``Guerilla Strategy´´ for Freedom-to-Operate
		Secrecy
		Speed
		Designed Complexity
			Complexity
		Alternative Techniques of Value Appropriation
	References
3: Evaluating and Valuing Patents
	Key Components of Patent Strategies
	3.1 Evaluating Patents
		Monovariate Patent Evaluation
			Patent Evaluation at Eastman Kodak
			Patent Evaluation at Schindler
			Bibliometric Patent Quality
		Bivariate Patent Evaluation
			Market Value of the Patent
			Legal Value of the Patent
		Trivariate Patent Evaluation
			Relative Patent Position
			Technological Attractiveness
			Technological Significance
				Evaluation of Patents
	3.2 Valuing Patents
		Cost-Oriented Procedures
			(1) Historical Costs
			(2) Reproduction Costs
				Advantages and Disadvantages of Cost-Oriented Procedures
				Application of Cost-Oriented Procedures
		Market-Oriented Procedures
			(3) Market Price on Active Market
			(4) Analogy Methods
			(5) Equity Value/Econometric
				Pros and Cons of Market-Oriented Procedures
		Income-Oriented Procedures
			(6) Direct Cash Flow Forecast
			(7) Licensing Price Analogy
			(8) Additional Profit Method
			(9) Residual Value Method
				Identification of the Value-Determining Parameter
				Pros and Cons of Income-Oriented Procedures
		Further Methods of Patent Valuation
			(10) 25%-Rule
			(11) Profit Share
			(12) Technology Factor
			(13) Real Options Method
			(14) Decision-Tree Analysis
			(15) Monte Carlo Method
				Valuation of Patents
	3.3 Managing the Patent Portfolio
		Step 1: Vision and Mission
		Step 2: Challenges for the Company
			Customer/Market
			Competitors
			Substitution Technologies
		Step 3: Technology Portfolio
			Observe
			Prototype
			Invest
			Optimize
			Divest
		Step 4: Patent Portfolio
			Explore
				Explore Checklist
			Build
				Build Checklist
			Secure
				Secure Checklist
			Optimize
				Optimize Checklist
			Consolidate
				Consolidate Checklist
		Step 5: Measures
			Case Study: Patent Portfolio Management at Daimler
		Managing the Patent Portfolio
			Checklist for Managing the Patent Portfolio
	References
4: Successful Practices in Commercializing Patents
	4.1 Licensing
		Licensing Master: Qualcomm
	4.2 Cross-Licensing
		Cross-Licensing: Siemens and Microsoft
	4.3 Sale
		A Market for IP: IPXI
	4.4 Strategic Alliance
		Strategic Alliance: IBM and Philips
	4.5 Spin-Off and Call-Back
		Spin-Off: F. Hoffmann-La Roche and Actelion
		Call-Back: Novartis and Speedel
	4.6 Joint Venture
		Joint Venture: Bayer Innovation
	4.7 Patenting for Access to Finance
		Patenting for Access to Finance: Uber!
	4.8 Litigation for Value
		Patent Assertion Entity: Acacia Research
	4.9 Complex Strategies
		BT Exact (British Telecom)
		Make or Buy: Bayer
	4.10 Commercialization Concepts and Conclusions
		Phase 1: Identification
		Phase 2: Evaluation
		Phase 3: Search
		Phase 4: Transaction
			10 Factors of Success for Commercializing Patents
	References
5: Organizing Patent Management
	5.1 Governance vs. Service Patent Department
		Factors for Successfully Managing a Patent Department
	5.2 Costs and Benefits of a Patent Department
		Performance Evaluation
		Complex Patent Department Reshuffle: Infineon Technologies
			Managing Outsourcing
			Managing Quality
			Managing Processes
	5.3 Core Processes of Patent Management
		Invention Generation Process
		Procedures before Patent Offices
	5.4 Inventor Culture as a Catalyst
		``Innovate or Perish´´
		``Culture Eats Strategy for Breakfast´´
			Seven Dimensions of Innovation Culture
			Three Steps Toward An Innovation Culture Plan
			The St. Gallen Innovation Culture Navigator
	5.5 Preventing Product Piracy
		Siemens in China
		Legal
		Technology
		Business
		Market
		Human
	References
6: Patent Management by Industry
	6.1 Pharma
		Case: Bristol-Myers Squibb vs. Gilead Sciences
			Take-Aways Pharma
	6.2 Chemistry
		Case: Covestro
			Take-Aways Covestro
	6.3 Crop Science
		Research Despite Patents Possible
			After the So-Called Broccoli/Tomato Rulings on Breeding Methods for Plants
		Case: Monsanto Canada
			Technology Protection
			Why Does Bayer Enforce Its Patents?
				Take-Aways Crop Science
	6.4 Life Sciences
		Case: Prionics
			Defending One´s Intellectual Property as a Small Life Science Company
				Take-Aways Life Sciences
	6.5 Consumer Goods
		Case: Nespresso, the Game Changer
		Case: Henkel
			Take-Aways Henkel
	6.6 Machinery
		Case: Patent Management Processes at Schindler and Inventio
			Invention Process
			Portfolio Management
			Invention and Patent Database
			Organization
			Cooperation and Licensing
				Take-Aways Schindler/Inventio
	6.7 Electronics and Electrical Equipment
		Case: Patent Management at ABB
			Patent Generation Strategy
			Patent Generation Processes
			Organizing Patent Generation
			Evaluating Patents
			Low Voltage Products
			High Voltage Products
			Patent Commercialization
				Take-Aways ABB
		Case: Philips vs. Google
			Take-Aways Electronics
	6.8 Automotive
		RandD Cooperation with Suppliers
		Case: Tesla, the Pacemaker
			Leapfrogging by Declaring Commons
			``All Our Patent Are Belong to You´´
			The Why
		Case: Avanci-Traditional Automotive Players Under Attack
			Take-Aways Automotive
	6.9 Information and Communications Technology
		From GSM to UMTS Standard to 5G
		The Smartphone Patent Wars
		Case: Apple vs. Samsung
			Dealing with the Anti-commons
				Take-Aways Information and Communications Technology
	6.10 Computer Science
		Case: Microsoft
			Eolas vs. Microsoft
			Take-Aways Computer Science
	6.11 Financial Services and Fintech
		Case: MasterCard
			Take-Aways Financial Services
	6.12 Transport and Logistics
		Case: FedEx and United Parcel Service (UPS)
			Enlarging Logistics to Cloud Computing: Amazon
			Take-Aways Transport and Logistics
	6.13 Start-Ups and SMEs
		Practical Tips for Patent Management in Start-Ups and SMEs
	References
7: Patent Management in New Technology Environments
	7.1 Biotechnology
		Examples of Patentable Biotechnological Inventions
		Examples of Non-patentable Biotechnological Inventions
		Biotechnological Inventions and Patents
		Biotechnology Patents at the EPO
			Respecting Traditional Knowledge
			Ethics
			Animals and Human Genes
		Patenting of the First Mammal in the USA
		Different Views in the USA, Europe, and Japan
		CRISPR-Cas9 Patent Dispute
			Interference Proceeding
			Take-Aways CRISPR-Cas9
	7.2 Nanotechnology
		Practice of the European Patent Office (EPO)
			Basic Requirements for European Patent Applications
			Example Novelty
			Example Inventive Step
			Example Disclosure
			Take Aways Nanotechnology Patent Applications
	7.3 Industry 4.0 and Internet of Things
		Industrial IoT Innovation Is Taking Off
		Top 4IR Applicants Active in Different Industries
			The Fourth Industrial Revolution
	7.4 Software and Business Methods
		Computer-Implemented Inventions (CII) at the European Patent Office (EPO)
		Practice of the European Patent Office (EPO)
			Patent Protection for Technical Creations
			The Case Law of the Boards of Appeal
			Patents for Computer-Implemented Inventions
		Patentability of Business Methods in the USA
			The Alice Case-2014
	7.5 Artificial Intelligence-Based Business Models
		Challenge to Apply Formal IP Strategies to AI
		Status Quo in Patenting AI-Related Innovations
		IP Protection Strategies for AI-Based Business Models
		Managerial Implications
			AI as Inventor (DABUS)
	7.6 Blockchain and Distributed Ledger Technologies
		Blockchain as the Object of IP
		Using Blockchain to Secure Innovation
		Blockchain as the Solution to IP
	References
8: Useful Information for Practitioners
	8.1 Patent Growth Worldwide
	8.2 Structure of a Patent
		Example of a title page of a patent document (see Fig. 8.2)
	8.3 Patent Document Codes
	8.4 Patent Classification
	8.5 Notes on Patent Search
		esp@cenet
		DEPATISnet
	8.6 Member States of the European Patent Organisation
	8.7 EUIPO/Unitary Patent/Unified Patent Court
		European Union Intellectual Property Office
		Unitary Patent
		Unified Patent Court
	8.8 IP Tax Regimes
	8.9 Brief Comparison of Patent Legislation (Table 8.6)
	8.10 The World Intellectual Property Day
	References
Glossary
Index