Volker Plogmann
WIPO WORKSHOP ON INTELLECTUAL PROPERTY FOR BUSINESS FOR SMALL AND
MEDIUM-SIZED ENTERPRISES(SMES)
Workshop in Dar-es-Salaam, May 10 and 11 2005
Dipl.-Ing. Volker PlogmannManaging Director Patent and Trademark Department
Wilhelm Karmann GmbHFull Service Vehicle Supplier, Osnabrück, Germany
Volker Plogmann
Why Intellectual Property Rights ?
Intellectual Property / Immaterial Goods• No „physical entity“ („idea“)• Realizable / easy to copy/multiply• Value when multiplied? (rises/falls)• Aggregate Value added (by whom?)• Amendments possible• control?
Volker Plogmann
Why Intellectual Property Rights ?
Invention and competitive advantage• keeping secret (method / product) ?• Easy to copy/analyze (Know-How) ?
General Goal of IP System• Support of Innovation• Providing of Knowledge (Publication)
“Legal Protection” as renumeration for publication of knowledge
Volker Plogmann
Kinds of Intellectual Property Rights
• Registered IPRs• Un-registered IPRs
• Technical IPRs• Non-technical IPRs
Volker Plogmann
Registered IPRs
• Technical IPRs• Patents• Utility models• Topographic designs• Plant varieties
• Non-technical IPRs• Registered Trademarks• Designs
Volker Plogmann
Patents / Utility Models
• Subject matter• Technical teaching
• Products• Processes (only patent)• Uses (only patent)
• Important Exception: software “as such”
Volker Plogmann
Patents / Utility Models
• Requirements for registrability• Novelty• Inventiveness• Commercial applicability
Volker Plogmann
Designs
• Subject matter• Two dimensional patterns• Three dimensional • configurations
• Requirements for registrability• Novelty• Uniqueness
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Designs
• Creation of protection• National deposition/registration• International deposition/ registration/The
Hague Convention
• Scope of protection• Merely against copying
(no protection against independent development of third party! )
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Trademarks
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Legal Aspects (TRIPS)
• International Minimum Standards• Copyright, Trademark, Design, ...• Patents, Art. 27 to 34 TRIPS:
• all fields of technology without discrimination
• novelty, inventiveness, industrial applicability
• no discrimination as to place of invention or whether products are imported or local
Volker Plogmann
Why Intellectual Property Rights ?
World of Patents
„Worldwide there are more than 4 million patentsin force, every year it will be applied for patents for about 800 000 inventions. For each invention a patent will be requested in average in 4 countries. By licensing patents have achieved royalty payments in the amount of about 100 billion US$ in 2000, 10-times as much as 1990.“
Volker Plogmann
Why Intellectual Property Rights ?
Patents in and for Europe
„In the year 2000 about 140 000 patent applications have been filed with the EPO. Nearly 70 % of the applicants allover the world trust the EPO with the examination of their applications.
For Patent Searches the EPO has access to about 38 million documents from more than 60 countries.
About 50 states have adapted their patent systems more or less to the European Patent Convention, having increasing influence in many countries of the world.“
Volker Plogmann
Commercial Benefits from IPRs
• Protection of own business (!!)• prevent copying• cross licensing basis (free to market)• keeping price level of own products
• Cooperation with other parties• Transfer out (License/Sale)
• Transfer of Technology possible !!• Controlling use of joint results• Use of joint patent ownership to avoid
antitrust problems
Volker Plogmann
Patents in Force
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Application Activities
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Worldwide Patent Activities
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Application Activities - Globalization
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Application Activities - Globalization
Volker Plogmann
„Licensing“ and TT
• Negotiation Skills for Licensing Technology
• General Possibilities• Sale• Licensing
• Types• Terms• Issues in Licensing
Volker Plogmann
„Licensing“ and TT
• „Permitting“• licensor => licensee• Anything, which is owned by the
licensor and otherwise could not be used by the licensee• 1) Due to legal reasons (IPRs)• 2) Due to factual reasons (Know-How)
Volker Plogmann
Types of Transfer of Technology
• Product/Service/System
• Transfer of Equipment
• Transfer of Know-How
• Transfer of Permittance
Volker Plogmann
Coverage of License Agreement I
• Which IPRs ?• registered / non-registered
• Where ?• territorial boarders / markets
• Time Frame ?• Start / End / Termination
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Coverage of License Agreement II
• Quantity ?
• Quality Control ?
• Support• Technically / Marketing
• Documentation• technical drawings, specifications, market search
results...
Volker Plogmann
Kinds of License Agreements
• Exlusive License• „Sole“ License
• Non-exclusive License
Volker Plogmann
Valuing the Technology
• Cost approach
• Market approach
• Benefit approach• 25 % “Rule“• Technology Factor and others
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Licensing Terms
• Running Royalties• Sliding• Capped
• Downpayment/Milestones/Installments• Creditable or not
• Minimums (Maximums?)
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Limitations and Restrictions
• Field
• Geography
• Time
• Terminal Rights
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Warranties
• Protection
• Freedom
• Technical / Product Liability
Volker Plogmann
Intellectual Property Rights
Thank you for listening!
Volker Plogmann
WIPO WORKSHOP ON INTELLECTUAL PROPERTY FOR BUSINESS FOR SMALL AND
MEDIUM-SIZED ENTERPRISES(SMES)
Workshop in Dar-es-Salaam, May 10 and 11 2005
Dipl.-Ing. Volker PlogmannManaging Director Patent and Trademark Department
Wilhelm Karmann GmbHFull Service Vehicle Supplier, Osnabrück, Germany
Volker Plogmann
Karmann Ghia Coupe 1955
Wilhelm Karmann GmbH
Volker Plogmann
Audi A4 Convertible 2002 Mercedes-Benz CLK Convertible 2003
Complete Vehicles
Chrysler Crossfire Coupé 2003 Chrysler Crossfire Roadster 2004
Volker Plogmann
VW New Beetle Convertible 2002
Renault Mégane Coupe-Convertibles 2003
Roof Systems
Volker Plogmann
3.5 Million Vehicles 1949-2004
VW Beetle Convert.331,847 units
VW Karmann Ghia362,601 units
VW Porsche 914118,949 units
VW Scirocco I504,153 units
BMW 6th Series96,149 units
VW Golf A1 Convert.388,522 units
VW Scirocco II291,497 units
Ford Escort Conv.104,237 units
VW Corrado97,521 units
Ford Escort Conv.83,983 units
VW Golf A3 Convert.139,577 units
Renault Mégane Conv.58,867 units
Merc.-Benz CLK 81,518 units
Audi 80 Convertible12,012 units
VW Golf A4 Convert.72,666 units
Merc.-Benz CLK Coupé31,568 units
Audi A4 Convertible20,906 units
Selection from reference vehicle list:
Chrysler Crossfire
Volker Plogmann
Global Locations
Wilhelm Karmann GmbHOsnabrückVehicle Engineering • ToolingRoof Systems • Production
Karmann-Ghia de MexicoPueblaRoof System Production
Karmann-Ghiado Brasil Ltda.Sao PauloTooling • StampingVehicle Production
Karmann-Ghiade Portugal Lda.Vendas NovasFabric Production
Julius Heywinkel GmbHBramscheFabric & Plastics Production
Karmann-RheineGmbH & Co. KGVehicle Production
AGS GmbHOsnabrückLogistics Services
ATP Automotive Testing Papenburg GmbHPapenburgProving Ground
Karmann U.S.A., Inc.Plymouth, MichiganVehicle Engineering
Volker Plogmann
Wilhelm Karmann GmbH
Germany - OsnabrückService Spectrum:
Vehicle Engineering • ToolingRoof Systems • Production
Founded: 1901
Employees: 6,106
total area: 435.000 m2
built-on-area: 195.116 m2
Current Key Products:
Chrysler Crossfire Coupe
MB CLK Convertible
MB SLK (BIW Module)
Volker Plogmann
Karmann-Rheine GmbH & Co. KG
Germany - Rheine
Service Spectrum:
Vehicle Production
Founded: 1965
Employees: 1,760
total area: 432.500 m2
built-on-area: 78.500 m2
Current Key Products: Audi A4 Convertible
Renault Mégane II CC (RHT module)
Jaguar XK8 (Soft-top Frame)
Volker Plogmann
Karmann-Ghia do Brasil Ltda.
Sao PauloService Spectrum:Tooling • Stamping Vehicle ProductionFounded: 1960Employees: 498Current Key Products: Final Assembly of Land Rover
90 SW Tools for DC, Dana, Fiat, Ford,
GM, Krupp, Land Rover, Honda, Renault, Scania, Volvo, VW Stamping Parts for DC, Fiat,
Krupp, Scania, TWB, Volvo, VW
Volker Plogmann
Karmann-Ghia de Portugal Lda.
Vendas NovasService Spectrum:
Fabric ProductionFounded: 1992Employees: 276Current Key Products:
Fabric & leather seat covers for Audi A4 Convertible BMW new 5 series Ford Galaxy Land Rover MB CLK Convertible VW Sharan Seat Alhambra
Volker Plogmann
Karmann-Ghia de Mexico
PueblaService Spektrum:
Roof System Production
Founded: 2002
Employees: 150
Current Product:
Soft-top System forVolkswagen New Beetle Cabrio
Volker Plogmann
Karmann U.S.A.
Plymouth,MichiganService Spectrum:Vehicle Engineering,
Roof System Production (2006)
Founded: 1996
Employees: 140
Volker Plogmann
ATP Automotive Testing
Papenburg Service Spectrum:
Proving Ground Engineering
Operation Begin: 1998
Employees: 100
Testing Area: 870 ha
Volker Plogmann
Full Service Supplier
Powertrain & Chassis Integration
PrototypesVehicle Testing
Engineering/Concept
MachiningTools & DiesBIW AssemblySystems
QA Tooling Stamping Paint Shop Final Assembly
Module Manufact.
Body-in- white
Styling Concepts/Advanced
Engineering
Package/Measure Concept/
Surface Class A
Design/ Engineering
Plastics Technology
Roof SystemsFEM Analysis
Soft-top Production
Volker Plogmann
Division & Structure in Osnabrück
Vehicle EngineeringVehicle Engineering ToolingTooling ProductionProduction
StampingStamping
Body-in-whiteBody-in-white
Paint ShopPaint Shop
Final AssemblyFinal Assembly
BIW Assembly SystemsBIW Assembly Systems
Tools and DiesTools and Dies
MachiningMachining
designStudiodesignStudio
conceptTeamconceptTeam
FEM AnalysisFEM Analysis
Design/EngineeringDesign/Engineering
Plastics TechnologyPlastics Technology
PrototypesPrototypes
Vehicle TestingVehicle Testing
Intellectual Property ManagementIntellectual Property Management
Package/Measure Concept/Surface Class A
Package/Measure Concept/Surface Class A
Modules/ComponentsModules/Components
Roof SystemsRoof Systems
PrototypesPrototypes
Development
Design
TestingTesting
ProductionProduction
Volker Plogmann
IP Department
Intellectual Property Department
Patents, Utility Models
Trademarks,Designs
Licensing Administration
Volker Plogmann
Intellectual Property Management
• The protection of innovative solutions and the covering of Know-How in respect of the economic advantages in national and international competition is the major task of an Intellectual Property Management
• The support and the consulting in-house is another topic of the Intellectual Property Management• Law of Contract (Patents and Licenses)• Online research in patent databases• National and international prosecution• Patent litigation
Volker Plogmann
Patent Strategy
• Support in reaching the company targets• Economical and professional protection of
own inventions• Decrease the risk of a blocking by
competitors• Avoidance of patent infringement
Setting up a patentportfolio
Volker Plogmann
Patent Strategy
Questions to be answered:
• a) Shall a patent be applied for an invention?
• b) At what time should the application of an invention
take place?
• c) Can invention be kept secret for „absolute reasons“?
• c) Which scope of protection should be aimed for?
• d) In which countries should an application take place?
Volker Plogmann
Service Invention
• R & D Division• IP Department• Search for prior art• Filing an application
Volker Plogmann
Service Invention
1. Employee's invention law
(The German Problem!)
• Technical inventions• Inventorship• Right to apply for patents• Definition of invention• Definition of employee• Service or free invention
Volker Plogmann
Patent Strategy
2. Evaluation of inventions• Evaluation for the classification of the
inventions concerning the intended registration
• Orientation at markets and the competitive
position
• Evaluation of the invention by representatives
(Management of Technical Development and
its department managers)
Volker Plogmann
Patent Strategy
2. Evaluation of inventions (Example)
Volker Plogmann
Patent Strategy
3. Incentive-Program
(Law relating to inventions of employees)
• an incentive is paid after registration of an invention
• a payment according to the Employee´s invention law is done after a patent is granted and used in a product (award to the inventor)
Volker Plogmann
Patent Strategy
4. First filing applications
• Patent application - yes or no?
• Patent application - where and how?
National Territories
Volker Plogmann
Patent Strategy
4. First filing applications
• National Patentlaw (harmonised)• National Patentoffices• National Patents• National, independend proceedings in all
countries, where the patent will be registrated• a „worldwide patent“ does not exist !
Volker Plogmann
Patent Strategy
5. Foreign subsequent applications• Foreign protection
• Selection of countries (production; markets)
• National applications
• PCT
• EPC
Volker Plogmann
Patent Strategy
Paris Convention
• international convention
• subsequent application in the member states possible
• 164 member states
• right of priority (1 year)
Volker Plogmann
Patent Strategy
6. Examination procedure
• Getting a maximum extent of protection
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European Patent Office
European Patent Office
• 27 contracting states• 5 extension states• Registration / Search / Examination• Grant / Opposition / Appeal• Distribution of a „European Patent“
Volker Plogmann
European Patentsystem
Distribution procedure EPO
European Patent (“Regional-Patent”)
FR AT XY
Nationalization
DE
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PCT-System
Patent Cooperation Treaty (PCT)
• international announcing authority
• 123 Member countries
• Registration / Search / Preliminary Examination
• no distribution of a patent
• national/regional distribution procedures necessary (PCT is an „Preliminary stage “)
Volker Plogmann
PCT-System
International Phase PCT
National and regional Phases
US TZ DEEP
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PCT-System
First filing, DPMA
PCT-filing, DPMA, EPC (Priority)
Request for Int. Preliminary Examination
End of International Phase
EP DE US TZ JP
Month
0
12
19
(20) 30
Volker Plogmann
Fees and Renewals
7. Fees and Renewals
• Payment of• procedural fees• administrative fees• maintenance fees
• Screening of the Patentportfolios takes place annually
Volker Plogmann
Cost schedule of a patent family (I)
Locking device for cabriolet-tops
• First filing of the invention in Germany• Foreign subsequent applications in USA,
Japan and in Europe
Volker Plogmann
Cost schedule of a patent family (I)
Cost schedule of the patent family"Locking device for cabriolet-tops"
0
5000
10000
15000
20000
25000
30000
35000
40000
45000
50000
1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002
Eu
ro
Total
Germany
USA
Japan
Europe
Volker Plogmann
Cost schedule of a patent family (II)
Element made of foamed metal
• First filing of the invention in Germany• Foreign applications in USA, Japan and Europe• Two oppositions in the german and in the
european procedure
Volker Plogmann
Cost schedule of a patent family (II)
Cost schedule of the patent family "Element made of foamed metal"
0
10000
20000
30000
40000
50000
60000
70000
80000
1996 1997 1998 1999 2000 2001 2002
Eu
ro
TotalGermanyUSAJapanEuropeOpposition
E
Volker Plogmann
Patent Strategy
8. Observation of competitors
• Examination of published registrations of
third parties
• Distribution of specific patent information to
the specialized divisions
• specific monitoring of selected competitors
Volker Plogmann
Patent Strategy
9. Execution of infringement procedures
• Infringement of patents of third parties
Development of a strategy to the practice:
Objection, nullity, license negotiations
• Infringement of own patent rights
Discussion with the management whether or
not to proceed against violators
Volker Plogmann
Patent Strategy
Thank you for listening!
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