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Clean and Green: A Sensible Approach to IP Protection for
New Energy Innovation
December 8, 2009
Ernest W. Grumbles IIIRobert A. Kalinsky
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ITEMS
• A STUDY IN CONTRASTS• WORST-CASE SCENARIOS• IP IN 4 SLIDES• PATENT SEARCHING FOR
BUSINESS INTELLIGENCE• FILING EARLY AND OFTEN• REAL WORLD, CLEAN AND
GREEN IP• STRANGE POLICY TWISTS
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Tesla
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Nikola Tesla – solar pioneer
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A STUDY IN CONTRASTS
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THE ECO-PATENT COMMONS
• Pool of Eco-Patents for Public Use – royalty-free
• Est’d by IBM, Nokia, Pitney Bowes and Sony w/ World Bus. Council for Sust. Dev.
• Over 100 patents so far
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GE v. Mitsubishi (S.D. Tex.)
Variable Speed Turbine Patents
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WORST CASE SCENARIOS Pt. 1
• No ownership or control of your inventions
• Loss of information secrecy
• Loss of patent rights
• Ambiguous or weak patent rights
• No real IP plan
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WORST CASE SCENARIOS Pt. 2
• Use of someone else’s trade secrets
• Use of someone else’s patent rights
• Involuntary patent or trade secret litigation
• Injunction and damages from use of third party rights
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Patent Litigation: Sport of Kings
• 3,500
• $2.5M
• 2-3 years
• injunction; lost profits; royalties; attorney’s fees
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Akeena Solar v. Zep Solar (N.D. Cal.)
Solar Cell Mounting Bracket Patent
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Maxwell Technologies v. NessCap, Inc. (S.D. Cal.)
Ultracapacitors
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CLEAN AND GREEN IP IS:
• LIKE THE REST OF THE IP WORLD
• IT’S ABOUT – INNOVATION
– IMPROVING THE WORLD
– AND MAKING $
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IP in 4 Slides: Patents
• Statutory protection for inventions
• Protects: devices, systems, methods of use/mfg
• Up to 20 years of protection• $15K-30K to get one• 1 year from sale or disclosure
to file – or no US patent
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IP in 4 Slides: Trade Secrets
• Statutory protection for confidential competitive info
• No registration• No cost – aside from security• Perpetual (in theory) • Quick death – if you let them
out
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IP in 4 Slides: Trademarks
• Common law and statutory protection for brands/trade dress
• State and Federal• Registration best • $1-4K to get registered• Perpetual – but use them or
lose them
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IP in 4 Slides: Copyright
• Statutory protection for creative works
• Federal only• Register so you can sue• $35 to register• Time of protection
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Look Before You Leap: the Virtues of a Patent Search
• What
• What You Get
• Why / Why Not
• Innovation Reality
• Process
• Timing
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Patent Filing Strategies
• New Tech = uncertainty
• Don’t sweat – just file
• Early
• Often
• Cheap
• Time-manage expense
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$110
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The Destruction of Novelty
• Sales
• Offers
• Public Displays
• Public Use
• Time Limits
My PatentRights
2009
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REAL WORLD, CLEAN AND GREEN IP - Filing Strategies
• Traditional Approach
• Linear Approach
• “Bull's-eye” Approach
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Filing Strategies – Traditional Approach
Innovation
Time
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Filing Strategies – Linear Approach
Time
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Filing Strategies – Bull's-eye Approach
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Example Patent Filing*
12. A system, comprising:a server operable to communicate
with a power grid operator and with each of multiple electric resources connected to a power grid; and
a charging manager connected to the server and operable to receive an energy generation signal from the power grid operator and to control a number of the electric resources being charged by the power grid as a function of the energy generation signal.
* U.S. Patent Published Application No. 2009/0200988.
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Typical Timeline and Costs
2010 2030
2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026 2027 2028 2029
01/01/2010
Application filed
06/01/2012
Examination Begins
01/01/2014
Patent Grants 01/01/2030
Patent Expires
$15k - $30k
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Types of Technology
• No “Green” indices at U.S. Patent Office
• ICTSD / EPO creating index– general use of patents, access to
technologies, licensing, and technology transfer
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Filing Numbers
• Actual filings can be difficult to track
• Clean Energy Patent Growth Index - http://www.cleanenergypatentgrowthindex.com/
• General trend upwards in almost every category
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Filing Numbers
U.S. Patent Filings - Green Technologies
0
200
400
600
800
1000
1200
2002 2003 2004 2005 2006 2007 2008
Year
To
tal
U.S
. P
aten
t A
pp
lica
tio
n F
ilin
gs
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Filing Numbers
U.S. Patent Filings - Certain Green Technologies
0
100
200
300
400
500
600
700
2002 2003 2004 2005 2006 2007 2008
Year
To
tal
U.S
. P
aten
t A
pp
lica
tio
n F
ilin
gs
Wind
Solar
Geothermal
Biofuels
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Filing Numbers
U.S. Patent Grants - Green Technologies
0
50
100
150
200
250
300
350
400
450
2002 2003 2004 2005 2006 2007 2008
Year
To
tal
U.S
. P
aten
ts
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Filing Numbers*
Clean Energy Patent Growth Index by Year2002 - 2008
600
650
700
750
800
850
900
950
1000
2002 2003 2004 2005 2006 2007 2008
* This chart is used with permission from the “CLEAN ENERGY PATENT GROWTH INDEX 3rd Quarter 2009” published by the Cleantech Group of Heslin Rothenberg Farley & Mesiti P.C. (www.cleantechintellectualproperty.com).
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Filing Numbers*
* This chart is used with permission from the “CLEAN ENERGY PATENT GROWTH INDEX 3rd Quarter 2009” published by the Cleantech Group of Heslin Rothenberg Farley & Mesiti P.C. (www.cleantechintellectualproperty.com).
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Players
Large and Small Company Patent Portfolios
0
10
20
30
40
50
60
70
80
90
100
Alliant
Energ
y Corp
Amer
en
Amer
ican
Elec P
ower
Center
point E
nerg
y
Consolid
ated
Ediso
n
Duke P
ower
Pinnac
le W
est
PG&E Cor
p
Progre
ss E
nergy
South
ern
CoXce
l
V2 Gre
en
Company
Nu
mb
er o
f P
aten
ts /
Ap
pli
cati
on
s
Large
Small
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STRANGE POLICY TWISTS - UTILITIES, MONOPOLIES AND
PATENTS
• Who owns the IP?
• How to pay for the IP?
• Why does a monopoly want a patent?
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Why does a monopoly want a patent?
• Exclude others in certain geographic area
• Freedom to operate
• Image / marketing
• Cross-licensing
• Incentivize innovation
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Joint Development / Standard-setting organizations
• Upfront IP disclosure
• RAND licensing terms
• Pooling agreements