1. Intellectual property beyond patents
PIIPA-CIAT training program
© 2008 Venable LLP
Enhancing Opportunities in the Canadian Market for
Innovative High-Value Colombian Agricultural Products
January 2013 © Michael Gollin 2013
magollin@venable.com
© 2008 Venable LLP
1

2. Agenda
■ Becoming strategic with IP
■ Basic IP strategies for trade secrets, trademarks, and
copyrights
■ Six Ps: Policies and practices for managing IP
■ Special challenges for developing country companies
See Driving Innovation: Intellectual Property
Strategies for a Dynamic World (Cambridge
University Press 2008)
http://www.amazon.com/Driving-Innovation-
Intellectual-Property-Strategies/dp/0521701694
(c) Michael Gollin 2010

3. INTELLECTUAL PROPERTY
Definitions
(in decreasing order of acceptance)
• Something intangible, created by the use of mental
ability, to which legal rights attach
• A combination of doctrines from industrial property
(patents, trade secrets, trademarks) and literary
property (copyright)
• A tool for converting human capital into value by
defining and capturing new knowledge
• An ethical principal valuing all knowledge, including
old and collective knowledge.
3
(c) Michael Gollin 2010

4. Entrepreneur
Exclusivity Adopted idea
New idea (innovation forest)
(innovation tree)
Limited
access
IP
Creator
marketplace
Accessible
domain
Broad access
Figure 5.11. The IP system and the innovation cycle. IP rights balance exclusivity
with access to stimulate creative acts and promote development of new ideas,
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while allowing knowledge to become broadly available.

5. Becoming strategic about IP
■ Learn the basics
■ Identify a long term, consistent, simple objective
■ Assess company’s
– internal resources
– competitive environment
■ Tailor a plan
■ Implement and revise
– identify participants
– Communicate
(c) Michael Gollin 2010

6. IP players
■ Leader – Innovation chief (CEO, CSO, CXO)
– What, when, how, why, who?
■ Team
– Business managers
• Form and implement IP strategies
• Marketing, business development, finance
• Link global teams
– Creative talent (R&D, art)
• Generate new ideas to drive innovation cycle
– Legal team (in-house or outside)
• Analyze, protect, and advise on law
• Lawyers, patent agents, licensing professionals
© 2009

7. Find good counsel!
What should you look for in outside
counsel?
■ Experience with IP law
■ Knowledge of your industry and type of business
■ Knowledge of subject matter
■ Network of foreign associate counsel
■ Ability to solve problems and give practical advice
■ Ability to prioritize legal issues
■ Willingness to discuss costs and benefits
■ Desire to help you achieve success © 2012 Venable LLP

8. Define your goals
■ Establish strategic objectives
■ Mission statement
■ Translate into IP/innovation outcomes
■ Simplify for ready communication
– Enter market A with product B
– Prevent competitor X from competing in sector
Y
© 2009

9. Assess internal resources objectively
■ Human resources – who is available?
– Creative, legal, management
■ IP assessment
– IP portfolio (P, TM, C, TS)
– IP procedures, policies and practices
– Mapping to product/service
■ Physical assets
■ Budget
© 2009

10. The basic task:
How to use intellectual property – to
(1) promote exclusivity
(preserve,
perfect,
transfer, and
enforce IP rights)
(2) access innovation
(avoid,
destroy, or
license IP rights of others)
-- to help an organization achieve its objectives
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(c) Michael Gollin 2010

11. STRATEGIC GOALS OF IP
MANAGEMENT
• Increase enterprise assets
• Obtain short term competitive advantage
• Maintain long term competitive advantage
• Improve marketing
• Manage relationships with personnel and partners
• Attract capital
• Protect investment
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(c) Michael Gollin 2010

12. STRATEGIC GOALS OF IP
MANAGEMENT – cont.
• Ensure access to technology, materials,
software, and data
• Avoid liability
• Protect customers/clients from IP challenges to
products and services provided (and avoid
liability)
• Facilitate dissemination of knowledge and
products
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(c) Michael Gollin 2010

13. Intellectual property beyond patents
■ IP basics for trade secrets, trademarks, and
copyrights
-Protectable subject matter
-Legal basis
-Scope of rights
-Duration
■ Related innovations (biologic material, data,
domain names, reputation, know-how, intangible
assets)
(c) Michael Gollin 2010

16. Trade Secret
■ Trade & Employment Law: protect employer rights while
balancing employee rights
■ Define confidential circle
■ Rights begin when information created
■ No registration: reasonable steps to preserve in confidence
■ Protection lasts as long as kept secret (or vanishes) )
■ Does not block independent development or reverse
engineering
■ Rights belong to company (employment agreements)
■ But employee is allowed to take and use skills
■ Protection costs depend on steps; enforcement ($100k’s)
■ Examples: Coca-Cola, VW
16 © Michael A. Gollin 2001-2008
Do not copy or distribute
(c) Michael Gollin 2010

18. Trademarks
■ Trade Law: Avoid customer confusion of source of origin
■ Types: Name, logo, color, slogan, sound, trade dress
■ Can’t be “generic” name for item
■ Range from strong (coined) to weak (suggestive)
protectability
■ Rights begin with filing (except in common law
countries, based on use)
■ Right to prevent confusingly similar goods/services
■ Factors: similar appearance / sound / geography /
products / market
■ Protection lasts as long as mark is registered/in use
■ Protection costs ($1-5k per country), enforcement
18 © Michael A. Gollin 2001-2008
$100k’s Do not copy or distribute
(c) Michael Gollin 2010

19. COLOMBIA at Canadian IP Office
http://www.cipo.ic.gc.ca/app/opic-cipo/trdmrks/srch/bscSrch.do?
lang=eng
21 records
1. Trademarks: TESORO DE COLOMBIA, Abandoned, 0559159
2. Trademarks: PROEXPORT COLOMBIA & Design, Searched, 1550622
3. Trademarks: MI COLOMBIA, Formalized, 1601655
4. Trademarks: COLOMBIA IS PASSION & DESIGN, Abandoned - Section 36, 1425113
5. Trademarks: COLOMBIA TURBANA & DESIGN, Registered, 0578646, TMA385352
6. Trademarks: CAFE DE COLOMBIA & Design, Allowed, 1336007
7. Trademarks: COFFEE OF COLOMBIA & DESIGN, Registered, 0637857, TMA381952
8. Trademarks: ICL PURO COLOMBIA & Design, Registered, 1400756, TMA760162
9. Trademarks: 1A1 COLOMBIA & DESIGN, Registered, 0578647, TMA358629
10. Trademarks: COLOMBIA ES PASIÓN! & DESIGN, Abandoned - Section 36, 1425112
11. Trademarks: CAFÉ COLOMBIA CREMA DE CAFE & Design, Registered, 1275518, TMA701860
12. Trademarks: COLOMBIA TURBANA & DESIGN, Registered, 0578645, TMA385635
13. Trademarks: The prominent 'C' in the word 'Cipes' in script with swirls, Default - Searched, 1509293
14. Trademarks: COLOMBIA LAS HERMOSAS, Formalized, 1602085
15. Trademarks: CHUCURI, Registered, 1261174, TMA692153
16. Trademarks: RON MEDELLIN & Design, Registered, 1275517, TMA682141
17. Trademarks: ROGERS' IMPERIALS DESIGN, Registered, 0785788, TMA478495
18. Trademarks: BANACOL & DESIGN, Registered, 0570071, TMA338663
19. Trademarks: ORINOCO, Registered, 1261182, TMA692079
20. Trademarks: STEREO SEVEN & DESIGN, Expunged, 0257556, TMA121535
21. Trademarks: KOKANEE & CAN DESIGN, Registered, 0752625, TMA477570
(c) Michael Gollin 2010

20. APPLICATION NUMBER:
1550622
REGISTRATION NUMBER:
not registered
STATUS:
SEARCHED
FILED:
2011-11-03
FORMALIZED:
2011-11-08
APPLICANT:
FIDUCIARIA COLOMBIANA DE COMERCIO EXTERIOR S.A. -
FIDUCOLDEX - para el
manejo del Fideicomiso de Promoción de Exportaciones PROEXPORT
COLOMBIA
Calle 28 N° 13 A - 24, Piso 6, Bogotá
D.C.
COLOMBIA
AGENT:
GOWLING LAFLEUR HENDERSON LLP
SUITE 2600, 160 ELGIN STREET
OTTAWA
(c) Michael Gollin 2010
ONTARIO K1P 1C3

21. COLOMBIA as owner address at USPTO:
1542 records
http://tess2.uspto.gov/bin/gate.exe?
f=searchss&state=4007:9rje05.1.1
Goods include coffee: 251 records
Lulo: 2 records (RESPIN and CANOA)
(c) Michael Gollin 2010

23. Six Ps:
Policies and practices for managing IP
■ Policy on managing IP: links IP policies
■ Personnel practices: ensure that rights flow
from employees
■ Procurement (supply chain management):
aggregates IP rights
■ Partnering practices: avoid loss of rights and
promote collaboration
■ Portfolio management: increases assets and
avoids liabilities
■ Policing: maintain control over innovation
(c) Michael Gollin 2010

24. GENERAL IP POLICY
■ Organization will protect its own IP
• preserve
• perfect
• transfer
• enforce
■ Organization will access IP of others, carefully
• clearance/freedom to operate
■ Summary: Maximize value, minimize losses
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(c) Michael Gollin 2010

25. The IP Value Hierarchy
Visionary
Integrated
Profit Center
Cost Control
Defensive
©2000 Arthur Andersen. All Rights Reserved 2
Davis and Harrison, Edison in the Boardroom (2001)
25
(c) Michael Gollin 2010

26. IP NON-POLICY/LOW LEVEL
POLICY
■ Why?
– Inertia, cost, ignorance, lack of skilled staff,
perceived low risk business model (no R&D,
public institution)
■ What general problems does a Non-Policy cause?
– Waste of assets
– competitors can free-ride
– liability for infringement of others’ rights
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(c) Michael Gollin 2010

27. IP NON-POLICY
Specific problems - Trade Secrets
• Technical and business information
becomes public domain
• Employees can violate obligations of
confidentiality to others (past employers,
customers, suppliers)
• Employees can leave, take info, and
compete
• No feed in to patent protection
27
(c) Michael Gollin 2010

28. IP NON-POLICY
– Specific problems - Trademarks
• Foreign employees and distributors may own
brands and logos,
• Domain names - cyberpiracy
• Consultants may own copyright in logos and
website and other software (copyright)
• Lack of clearance may lead to infringement
– need to cease use of trademark after expending
vast resources in goodwill
28
(c) Michael Gollin 2010

29. IP NON-POLICY
– Specific problems- Patents
• Employees own inventions, rights varying with
jurisdiction
• No patent portfolio
– no right to block copyists
– no bargaining chips
• No licensing revenue
• May carelessly/willfully infringe others’ rights --
– treble damages
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(c) Michael Gollin 2010

30. IP NON-POLICY
– How to change?
• CXO takes responsibility and delegates to
legal, business, and technical staff within
organization, hire and budget as needed,
identify inventory, analyze
• implement new protection, personnel,
procurement, and partnering policies
– Correct past problems?
• License, change operations, reserve
funds
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(c) Michael Gollin 2010

31. IP Policy
– Confidentiality Program
• Inform staff
• Control access to premises, documents, e-files
• Employment agreements
• Consulting agreements
• Non-disclosure terms in partnering agreements
• Invention disclosure program
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(c) Michael Gollin 2010

32. IP Policy
– Copyright Program
• Consultant/Contractor work-for-hire/assignment
agreements
• Mark all publications
• Source code confidential
• Mark on screen and on packaging
• Shrinkwrap/clickwrap licenses
• Register significant documents
32
(c) Michael Gollin 2010

33. IP Policy
– Trademark Program
• Clear new product/service marks
• Register significant marks
• Mark consistently
• License carefully (in/out)
33
(c) Michael Gollin 2010

34. IP Non-policy vs. IP Policy
Compare Company A with no IP management and
Company B with a high level of IP management.
■ In which company would you rather be an
employee?
■ Which company would you rather invest in?
(c) Michael Gollin 2010

35. PERSONNEL POLICIES AND
PRACTICES
■ The goal is increasing profit (for corporations) and
control (for non-profits)
– Maximize IP assets
• convert human capital into IP
• convert IP into profit or control
• avoid loss of IP
– Minimize IP liabilities (enlist employees’ help in
avoiding exposure by infringement)
35
(c) Michael Gollin 2010

36. PROCUREMENT POLICY
■ A => B => C => D
■ Clean title in, clean title out
■ Ensure clean title or public domain
■ ownership vs. license
36
(c) Michael Gollin 2010

37. What can be transferred from
A to B to C to D?
• Information (text, data, graphics)
• Software
• Equipment
• Chemical reagents
• Biological material
• Process technology
• Legal rights (patents, trade secret, trademarks,
copyrights,
• Contract rights (license, option, and assignment
obligations)
• Employee rights on joining and leaving an
employer
37
(c) Michael Gollin 2010

38. PARTNERING POLICY
– Suppliers
– Customers
– Licensees
– Licensors
– Affiliates
– Research contracts -- Joint development
– Strategic Alliances
Who owns what rights, what rights are being
transferred, what happens to new IP?
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(c) Michael Gollin 2010

39. Coop-etition
and
Trademarks
■ Individual trademark
– Identifies individual source
■ Collective mark
– Owned by association
– Identifies group with distinctive qualty, geographhial origin,
etc.
– Can be used by all members of group
■ Certification mark
– use by anybody who complies with the standards defined by
the owner (TEFLON)
■ Geographical Designations of Origin
– May be collective, certification, or otherwise
– Subject to international agreements (c) Michael Gollin 2010

40. PORTFOLIO MANAGEMENT
■ How to assess intellectual property rights
(audits, surveys, and inventories)
(1) legal theory analysis
• patent, trademark, copyright
(2) process audit
• trade secret
• copyright
(3) project and product analysis (cross-
cutting)
• major existing products
• new planned products and projects
(4) Valuation: Financial accounting:
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(c) Michael Gollin 2010

41. Figure 4.8. The innovation forest. New ideas give rise to young innovation trees of the various IP types, which mature, become old,
and die, joining the public domain, as other ideas join them. Two IP portfolios are shown; one covers all aspects of idea 1, the other
includes just copyrights from ideas 1-5.
Trade secret
patent
copyright
trademark
Other rights
New Idea 1 Idea 2 Idea 3 Idea 4 Idea 5 Old idea
idea
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42. When to conduct an
(E)Valuation of internal/external IP
Triggered by new projects
– buying, selling, starting a business
– developing (improving) new product/service
– selecting new name, logo, literature or launching
new website or marketing campaign
– creating original art, crafts, or software
– bringing on a key employee or consultant for
design, research, or development work
– providing business or technical information to
investors, suppliers, customers.
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(c) Michael Gollin 2010

43. Accessing IP belonging to others
■ Buy it
■ Get around it
■ Fight it
■ Figure 13.3
(c) Michael Gollin 2010

45. Protecting IP rights
■ Choose level of protection for each available IP
right
– High
– Low
– No
■ Patents – expensive and long to perfect
■ Trademarks – moderate cost and time to perfect
■ Copyright – low cost and quick to perfect
■ TS – institutional costs and perennial work to
protect
■ Figure 14.2
(c) Michael Gollin 2010

47. Maintaining IP rights in a portfolio
■ Reconsider importance (value)
■ Consider entire portfolio to avoid imminence
problems
■ Level of protection
– Increase
– Maintain
– Decrease
(c) Michael Gollin 2010

48. Policing (enforcing) IP rights
■ Enforcement Triage
■ Key questions for each type of IP right
■ Cost benefit calculation
– Ignore
– Strengthen portfolio
– Contact and negotiate
– Sue
(c) Michael Gollin 2010

49. IP strategies change with age

50. IP strategies differ by industry

51. The political debate:
North vs. South
■ Biopiracy as the taking of traditional knowledge and genetic resources
without permission
■ The central dogma of IP:
I want access to your innovation
but
I want to control your access to mine
(Driving Innovation: Intellectual Property Strategies for a Dynamic World)
■ Biopiracy as a bargaining chip
Biopiracy by North
vs.
IP piracy by the South

52. Source: NaturalNews.com (August 3 2007) Pirates of the West (comic), http://www.naturalnews.com/021964.html

53. PIIPA
■ www.piipa.org
■ Serving public interest in developing countries by providing
access to volunteer IP assistance
■ Promoting local innovation
– access to agricultural, environmental, and
communication technology
– protection of traditional knowledge, culture, and
biodiversity
■ Non-political, practical mission
– Qualified assistance seekers obtain pro bono counsel
– May use or challenge IP rights
– May work within or reform the IP system
■ Promotes balance: Fair access to IP expertise leads to just
results

54. Other resources
http://www.piipa.org/
index.php?
option=com_content&view=art
icle&id=99
(c) Michael Gollin 2010
54

55. Other resources
http://
www.iphandbook.org/
handbook/
case_studies/agfood/
(c) Michael Gollin 2010
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56. Thank You!
Questions?
magollin@venable.com
202-344-4072
www.venable.com
www.piipa.org
(c) Michael Gollin 2010
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