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Commercializing Intellectual Property

Commercializing Intellectual Property

Author(s): Cheryl Arflin

Edition: 2

Copyright: 2022

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ISBN 9781792492143

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This text begins with identifying foundational principles about intellectual property and analyzes how the intellectual property system is affected by them. The rule of law, the innovation cycle and possible strategies for using intellectual property are explained and identified. Also included in the Introduction is an explanation of critical thinking skills and the use of the IRAC protocol for legal analysis. Understanding intellectual property rules, definitions and the application of those definitions to fact patterns is essential for anyone in the business community.

This text is structured so that the student is given the rules and definitions needed and the qualifying conditions. Case law is used throughout to capture reality and to illustrate how the legal definitions and principles are applied. There are critical thinking questions throughout the chapters also to encourage and enable the students to grasp the public policy issues that form the basis for the legal rule. There are also scenario questions at the end of the chapters to give the students a chance to apply what they have learned. Answers to those questions are available in Appendix B at the end of the text.

Throughout the text there are websites, YouTube Videos, books, and articles suggested as additional resources.

Preface

Unit 1 The Foundations
            An Overview of the System
            Public Domain
            Rule of Law
            The Innovation Cycle
            Strategies for Using Intellectual Property
            Critical Thinking and Legal Analysis
            Emerging Realities May Require Changes
            Resources

Unit 2 Copyrights
      The Copyright Act
Required Characteristics

  • Atari Games Corp. v. Oman, 888 F.2d 878 (D.C.Cir. 1989)
  • Naruto v. David John Slater et al, No. 3:2015cv04324 (N.D. Cal. 2016)

Functionality

  • Baker v. Selden, 101 U.S. 99 (1879)
  • Computer Associates International v. Altai,982 F.2d 693  (2d Cir N.Y.1992)
  • Lotus Development v. Borland International, 49 F.3d 807 (1st Cir. 1995) Scenes a Faire
  • Nichols v. Universal Pictures, 45 F.2d 119 (2d Cir. 1930)

            The Benefits of Registration
      How to Register your Copyrights
      Work-Made-for-Hire
      International Standards

  • Ennio Morricone Music Inc. v. Bixio Music Group Ltd., No. 1:16-cv-08475, (S.D.N.Y. 2017)
  • Alameda Films SA de CV v. Authors Rights Restoration Corp., 331 F.3d 472, cert. denied, 540 U.S. 1048, 124 S.Ct. 814, 157 L.Ed.2d 696 (2003)

      Infringement
Direct Infringement
Contributory Infringement
Vicarious Liability

  • BMG Rights Management v. Cox Communications, Docket Number: 16-1972, (4th Cir. 2018)

      Derivatives
      Remedies
      Defenses to Infringement
      The Fair Use Doctrine

  • Penguin Random House LLC, et al. v. Frederik Colting and Melissa Medina, d/b/a Moppet Books. No. 17-cv-386 (S.D.N.Y. Sept. 8, 2017)

      Methods of Transferring Copyrights
      Other Terms
      Legal Authority
            Statutory
            Regulatory
      Scenarios

Unit 3 Patents
      Historical Facts
      Eligibility Requirements
Interpreting Eligibility Rules

  • Anticipated
  • Inherency

      There Are Three Types of Patents
Utility Patents
Design Patents
Plant Patents
      Why Patent?
      Patent Statistics According to the USPTO
​      How Do You Secure a Patent?
Provisional Patent
Software – A Problem Area for Patents

  • State Street Bank & Trust v. Signature Financial Group, Inc.,  149 F.3d 1368 (Fed. Cir. 1998).
  • Bilski v. Kappos, 561 U.S. 593, 601 (2010)
  • Alice v CLS Bank, International, 573 U.S. __, 134 S. Ct. 2347 (2014)
  • Tuxis Technologies, LLC, v. Amazon, Com., Inc., U.S. District Court of Delaware, Civil Action No. 13-1771-RGA  (Sept. 3, 2014)
  • Digitech Image Technologies, LLC v. Mamiya Digital Imaging Co., Fed. Dist. Crt.,  (July 11, 2014)
  • CMG Financial Services, Inc. v. Pacific Trust Bank, F.S.B., CV 11-10344 PSG (MRWx)( U.S. District Court of Central California), Aug. 29, 2014

      Infringement
      Remedies for Patent Infringement

  • 35 U.S. Code Chapter 29, §§281–297

      What Are the Strategies that May Be Used to Extract Value from Patents?
Licenses
Terms, Legal Theory & Definitions

  • Assignment
  • Patent pending
  • Shop rights
  • Doctrine of Equivalents

Licensing

  • Exclusive licenses
  • Non-exclusive licenses
  • Cross-licensing

      Public Policies
      International Patents
Patent Cooperation Treaty
Paris Convention
      Legal Authority
            Federal Acts
      Emerging Problems
Trends
            Resources
      Scenarios

Unit 4 Trademarks

      Characteristics of Trademarks

  • Lanham Act (U.S.C. Title 15) Substantial Use
  • Wickard v. Filburn, 317 U.S. 111 (1942)
  • Blue Bell, Inc. v. Farah Manufacturing Co., 508 F.2d 1260, (5th Cir.1975) The Three Uses
  • Actual use
  • Constructive use
  • Analogous use
    • Fair Indigo LLC v. Style Conscience , 85 USPQ2d 1536 (TTAB 2007

            Sufficient Distinctiveness

  • Generic marks
  • Descriptive marks
    • Zatarains, Inc. v Oak Grove Smokehouse, Inc., 698 F.2d 786 (5th Cir.1983)
  • Suggestive marks
  • Arbitrary marks
  • Fanciful marks

            The Issue of Consumer Confusion
      Not Protected

  • Anti-Disparagement Clause found in 15 U.S. Code § 1052(a)
  • Matal v. Tam (2017), No. 15–1293.

      Types of Marks

  • Service marks
  • Trade dress
    • Converse Inc. v. ITC, appeal pending, Fed. Case No. 16-2497, 2016
    • Two Pesos, Inc. v. Taco Cabana, Inc., 505 U.S. 763 (1992)
  • Collective marks
  • Certification marks

      Public Policy
      Examples of Different Types of Trademarks
      Application and Registration Issues
      Benefits of Registration
      Tools Used to Protect Trademarks
Infringement
Defenses
Remedies for Infringement
Misuse
Dilution

  • Blurring
  • Tarnishment
    • Anticybersquatting Consumer Protection Act of 1999

False Designation of Origin
Right of Publicity
Defensive Maneuvers
      Methods of Transferring Trademark Rights
Assignment
Abandonment – How Does It Happen?
      Review
      Legal Authority
      Scenarios

Unit 5 Trade Secrets
      Definitions and Requirements
                  Public Policy
      What Is Required in Order to Obtain Trade Secret Status?
Some Items That Might Be Included as a Company’s Trade Secrets
      Steps That a Company Needs to Take to Protect the Trade Secrets

  • 18 U.S.C. §1832 Theft of Trade Secrets

      Recent Cases

  • Tesla Motors Inc. v. Anderson et al., case number 17-CV-305646
  • U.S. v. Dmitry Sazonov, 16 Mag 2798, before the U.S. Magistrate Judge for the Southern District of New York

      Who Can Use Trade Secrets?
      Meeting the Trade Secret Statutory Requirements
Identifying Information as a Trade Secret
Maintain the Information in Secrecy
The Inevitable Disclosure Doctrine

  • PepsiCo Inc. v. Redmond  (U.S. 7th Circuit, No. 94-3942, Nay 11, 1995)
  • Williams Sonoma, Inc. v. Arhaus, LLC, (No. 2:2014cv02727, W.D. Tenn. 2015).

            Tools for Protecting Trade Secrets
                  Non-Disclosure Agreements
Non-Compete Agreements

  • PharMerica Corp. v. Sturgeon et al, 2:16cv1481, (U.S. Dist. Ct. W. PA. 2018)

Motivations for Protecting Trade Secrets
      Tort of Misappropriation
Examples of Misappropriation
Remedies for Misappropriation
      Patent or Trade Secret?
Advantages
Disadvantages
Other Considerations When Choosing Between Patent Protection or Trade Secret Protection
Realities that May Affect Enforcing Trade Secret Rights
      Relevant Statutes
Economic Espionage Act
Uniform Trade Secrets Act
Theft of Trade Secrets Clarification Act of 2012
Defend Trade Secrets Act of 2016
      Trends
      Scenarios

Unit 6 Commercialization – Extracting Value from IP Assets
      The Theory
      Sources for Commercializing
      Examples of Commercializing IP Strategies

  • The story of AT&T
  • Coca Cola Company
  • Walt Disney
  • Sony
  • Tesla
  • Thickets
  • Thomas Edison
  • Palomar Technologies, Inc.

                  Other Strategies
      Evaluating a Company’s Use of Intellectual Property Assets
Flat Lining
Up-and-Coming
Enlightened
Dynamic
      The Importance of Intellectual Property Audits
What Is an Intellectual Property Audit?
The Final Written Report of the Results of the Audit
      The Relationship between IP Audits and the Sarbanes-Oxley Act
Infringement Issues
      Valuation Issues
Valuation Methodologies

  • Cost-based method
  • Market approach
  • Income-based method

      Potential Problem Areas
            Resources

Unit 7 International Intellectual Property Issues
      The International Environment
      International Agreements

  • Paris Convention
  • Berne Convention
  • GATT (General Agreement on Tariffs and Trade)
  • Madrid Protocol
  • World Intellectual Property Organization
  • The Trade-Related Aspects of Intellectual Property Rights (TRIPS)
  • The International Union for the Protection of New Varieties of Plants
  • Patent Cooperation Treaty
  • Eurasian Patent Convention

      Cyberspace Concerns
      Comparison of Some International Intellectual Property Systems

  • Japan
  • The BRIC countries

      Global Trends and Critical Thinking Questions
      Challenges Facing Global Markets
            Resources

Appendix A – Relevant Case Law

Appendix B – Answers to Scenario Questions

Appendix C – Additional Resources

Cheryl Arflin

This text begins with identifying foundational principles about intellectual property and analyzes how the intellectual property system is affected by them. The rule of law, the innovation cycle and possible strategies for using intellectual property are explained and identified. Also included in the Introduction is an explanation of critical thinking skills and the use of the IRAC protocol for legal analysis. Understanding intellectual property rules, definitions and the application of those definitions to fact patterns is essential for anyone in the business community.

This text is structured so that the student is given the rules and definitions needed and the qualifying conditions. Case law is used throughout to capture reality and to illustrate how the legal definitions and principles are applied. There are critical thinking questions throughout the chapters also to encourage and enable the students to grasp the public policy issues that form the basis for the legal rule. There are also scenario questions at the end of the chapters to give the students a chance to apply what they have learned. Answers to those questions are available in Appendix B at the end of the text.

Throughout the text there are websites, YouTube Videos, books, and articles suggested as additional resources.

Preface

Unit 1 The Foundations
            An Overview of the System
            Public Domain
            Rule of Law
            The Innovation Cycle
            Strategies for Using Intellectual Property
            Critical Thinking and Legal Analysis
            Emerging Realities May Require Changes
            Resources

Unit 2 Copyrights
      The Copyright Act
Required Characteristics

  • Atari Games Corp. v. Oman, 888 F.2d 878 (D.C.Cir. 1989)
  • Naruto v. David John Slater et al, No. 3:2015cv04324 (N.D. Cal. 2016)

Functionality

  • Baker v. Selden, 101 U.S. 99 (1879)
  • Computer Associates International v. Altai,982 F.2d 693  (2d Cir N.Y.1992)
  • Lotus Development v. Borland International, 49 F.3d 807 (1st Cir. 1995) Scenes a Faire
  • Nichols v. Universal Pictures, 45 F.2d 119 (2d Cir. 1930)

            The Benefits of Registration
      How to Register your Copyrights
      Work-Made-for-Hire
      International Standards

  • Ennio Morricone Music Inc. v. Bixio Music Group Ltd., No. 1:16-cv-08475, (S.D.N.Y. 2017)
  • Alameda Films SA de CV v. Authors Rights Restoration Corp., 331 F.3d 472, cert. denied, 540 U.S. 1048, 124 S.Ct. 814, 157 L.Ed.2d 696 (2003)

      Infringement
Direct Infringement
Contributory Infringement
Vicarious Liability

  • BMG Rights Management v. Cox Communications, Docket Number: 16-1972, (4th Cir. 2018)

      Derivatives
      Remedies
      Defenses to Infringement
      The Fair Use Doctrine

  • Penguin Random House LLC, et al. v. Frederik Colting and Melissa Medina, d/b/a Moppet Books. No. 17-cv-386 (S.D.N.Y. Sept. 8, 2017)

      Methods of Transferring Copyrights
      Other Terms
      Legal Authority
            Statutory
            Regulatory
      Scenarios

Unit 3 Patents
      Historical Facts
      Eligibility Requirements
Interpreting Eligibility Rules

  • Anticipated
  • Inherency

      There Are Three Types of Patents
Utility Patents
Design Patents
Plant Patents
      Why Patent?
      Patent Statistics According to the USPTO
​      How Do You Secure a Patent?
Provisional Patent
Software – A Problem Area for Patents

  • State Street Bank & Trust v. Signature Financial Group, Inc.,  149 F.3d 1368 (Fed. Cir. 1998).
  • Bilski v. Kappos, 561 U.S. 593, 601 (2010)
  • Alice v CLS Bank, International, 573 U.S. __, 134 S. Ct. 2347 (2014)
  • Tuxis Technologies, LLC, v. Amazon, Com., Inc., U.S. District Court of Delaware, Civil Action No. 13-1771-RGA  (Sept. 3, 2014)
  • Digitech Image Technologies, LLC v. Mamiya Digital Imaging Co., Fed. Dist. Crt.,  (July 11, 2014)
  • CMG Financial Services, Inc. v. Pacific Trust Bank, F.S.B., CV 11-10344 PSG (MRWx)( U.S. District Court of Central California), Aug. 29, 2014

      Infringement
      Remedies for Patent Infringement

  • 35 U.S. Code Chapter 29, §§281–297

      What Are the Strategies that May Be Used to Extract Value from Patents?
Licenses
Terms, Legal Theory & Definitions

  • Assignment
  • Patent pending
  • Shop rights
  • Doctrine of Equivalents

Licensing

  • Exclusive licenses
  • Non-exclusive licenses
  • Cross-licensing

      Public Policies
      International Patents
Patent Cooperation Treaty
Paris Convention
      Legal Authority
            Federal Acts
      Emerging Problems
Trends
            Resources
      Scenarios

Unit 4 Trademarks

      Characteristics of Trademarks

  • Lanham Act (U.S.C. Title 15) Substantial Use
  • Wickard v. Filburn, 317 U.S. 111 (1942)
  • Blue Bell, Inc. v. Farah Manufacturing Co., 508 F.2d 1260, (5th Cir.1975) The Three Uses
  • Actual use
  • Constructive use
  • Analogous use
    • Fair Indigo LLC v. Style Conscience , 85 USPQ2d 1536 (TTAB 2007

            Sufficient Distinctiveness

  • Generic marks
  • Descriptive marks
    • Zatarains, Inc. v Oak Grove Smokehouse, Inc., 698 F.2d 786 (5th Cir.1983)
  • Suggestive marks
  • Arbitrary marks
  • Fanciful marks

            The Issue of Consumer Confusion
      Not Protected

  • Anti-Disparagement Clause found in 15 U.S. Code § 1052(a)
  • Matal v. Tam (2017), No. 15–1293.

      Types of Marks

  • Service marks
  • Trade dress
    • Converse Inc. v. ITC, appeal pending, Fed. Case No. 16-2497, 2016
    • Two Pesos, Inc. v. Taco Cabana, Inc., 505 U.S. 763 (1992)
  • Collective marks
  • Certification marks

      Public Policy
      Examples of Different Types of Trademarks
      Application and Registration Issues
      Benefits of Registration
      Tools Used to Protect Trademarks
Infringement
Defenses
Remedies for Infringement
Misuse
Dilution

  • Blurring
  • Tarnishment
    • Anticybersquatting Consumer Protection Act of 1999

False Designation of Origin
Right of Publicity
Defensive Maneuvers
      Methods of Transferring Trademark Rights
Assignment
Abandonment – How Does It Happen?
      Review
      Legal Authority
      Scenarios

Unit 5 Trade Secrets
      Definitions and Requirements
                  Public Policy
      What Is Required in Order to Obtain Trade Secret Status?
Some Items That Might Be Included as a Company’s Trade Secrets
      Steps That a Company Needs to Take to Protect the Trade Secrets

  • 18 U.S.C. §1832 Theft of Trade Secrets

      Recent Cases

  • Tesla Motors Inc. v. Anderson et al., case number 17-CV-305646
  • U.S. v. Dmitry Sazonov, 16 Mag 2798, before the U.S. Magistrate Judge for the Southern District of New York

      Who Can Use Trade Secrets?
      Meeting the Trade Secret Statutory Requirements
Identifying Information as a Trade Secret
Maintain the Information in Secrecy
The Inevitable Disclosure Doctrine

  • PepsiCo Inc. v. Redmond  (U.S. 7th Circuit, No. 94-3942, Nay 11, 1995)
  • Williams Sonoma, Inc. v. Arhaus, LLC, (No. 2:2014cv02727, W.D. Tenn. 2015).

            Tools for Protecting Trade Secrets
                  Non-Disclosure Agreements
Non-Compete Agreements

  • PharMerica Corp. v. Sturgeon et al, 2:16cv1481, (U.S. Dist. Ct. W. PA. 2018)

Motivations for Protecting Trade Secrets
      Tort of Misappropriation
Examples of Misappropriation
Remedies for Misappropriation
      Patent or Trade Secret?
Advantages
Disadvantages
Other Considerations When Choosing Between Patent Protection or Trade Secret Protection
Realities that May Affect Enforcing Trade Secret Rights
      Relevant Statutes
Economic Espionage Act
Uniform Trade Secrets Act
Theft of Trade Secrets Clarification Act of 2012
Defend Trade Secrets Act of 2016
      Trends
      Scenarios

Unit 6 Commercialization – Extracting Value from IP Assets
      The Theory
      Sources for Commercializing
      Examples of Commercializing IP Strategies

  • The story of AT&T
  • Coca Cola Company
  • Walt Disney
  • Sony
  • Tesla
  • Thickets
  • Thomas Edison
  • Palomar Technologies, Inc.

                  Other Strategies
      Evaluating a Company’s Use of Intellectual Property Assets
Flat Lining
Up-and-Coming
Enlightened
Dynamic
      The Importance of Intellectual Property Audits
What Is an Intellectual Property Audit?
The Final Written Report of the Results of the Audit
      The Relationship between IP Audits and the Sarbanes-Oxley Act
Infringement Issues
      Valuation Issues
Valuation Methodologies

  • Cost-based method
  • Market approach
  • Income-based method

      Potential Problem Areas
            Resources

Unit 7 International Intellectual Property Issues
      The International Environment
      International Agreements

  • Paris Convention
  • Berne Convention
  • GATT (General Agreement on Tariffs and Trade)
  • Madrid Protocol
  • World Intellectual Property Organization
  • The Trade-Related Aspects of Intellectual Property Rights (TRIPS)
  • The International Union for the Protection of New Varieties of Plants
  • Patent Cooperation Treaty
  • Eurasian Patent Convention

      Cyberspace Concerns
      Comparison of Some International Intellectual Property Systems

  • Japan
  • The BRIC countries

      Global Trends and Critical Thinking Questions
      Challenges Facing Global Markets
            Resources

Appendix A – Relevant Case Law

Appendix B – Answers to Scenario Questions

Appendix C – Additional Resources

Cheryl Arflin
Cheryl Arflin