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The Interplay of IPR and Standards
DIN FNS- Junge Unternehmen setzen erfolgreich Standards – Rolle von Normen und Patenten in weltweiten Märken
Dr. Tim PohlmannIPlytics GmbH– intelligent solutions for innovation and technology management
Ackerstrasse 76, 13355 Berlin, Germany,
www.IPlytics.com, [email protected]
2
1. ICT StandardsSEPs and innovation
Knowledge input #1
Standard Knowledge input #2
Knowledge input #3
Application in sector #1
Application in sector #2
Application in sector #3
� Standards incorporate a variety of knowledge inputs: E.g. IEEE 802.11
(WiFI)� radio communications modulation technology, security and cyphering
technology, higher link packet technology, etc…
�1991: Initiated by the NCR Corporation� narrow (niche) application area, the
wireless interconnection of cash registers in large retail stores
� 2000er: Various applications in public telecommunications (local loop, public
hotspots) � integrated in many consumer devices
IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
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1. ICT StandardsSEPs and innovation
� ICT standards are indispensable
for interoperability
� Innovative technology is
protected by patents
� Strategic incentives to file
patents reading on a standards
� Fear of monopoly and lock-in
situation
IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
4
1. ICT StandardsInterplay of Patents and Standards
R&D cooperation
negotiation
Firm1 Firm2
Firm5 Firm3
Firm4
Research
Standards Consortia
Patent Pool (IPR Consortia)
Standard Development
Firm3 Firm5Firm1 Firm4Firm2
Development
Standardization
Product/Component
Licensing
Technical Layer
Patent Declaration
Firm6
Patent Declaration
Patent Declaration
Patent Declaration
Patent Declaration
Firm1 Firm3
Firm7 Firm5
Firm6Firm2 Firm3
Firm9 Firm6
Firm8
IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
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2. Standards & PatentsInterplay of Patents and Standards
• Essential patents are these that someone would necessarily
infringe when adopting the standard
– Technical (patented component is technically used)
– Economic Essentiality (not using the of patented component
is economically not beneficial)
• Essential patents only represent a very small share of patents
that are technologically related to standards
• Standard relevant patents are not essential in a technical way
but may incorporate an economic relevant feature for the
standardized product (e.g. patents on implementing the
standard)
IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
6
2. Standards & PatentsInterplay of Patents and Standards
• Patents:
• Exclusive rights granted by a sovereign state to an inventor or their
assignee for a limited period of time in exchange for the public disclosure
of an invention � Intended to allow its owner excluding others from
using the protected invention
• Standards:
• Common platform or specification of a technology to connect,
communicate and work on a common basis � Encourage the spread and
wide implementation of the standardized technology
IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
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2. Standards & PatentsStandard Setting Organizations
• Consensus Standard Setting Organizations (SSOs)
– Standards Developers (international: ISO, IEC, ITU, IEEE, ETSI national: DIN, BSI, AFNOR, ANSI)
– Major consortia (W3C, IETF)
– Special Interest Groups (Bluetooth SIG)
• SSOs face difficult IPR trade-off
– Want/need option to use patented technology…
– … but essential (i.e. blocking) patents could
• Produce “unfair” ex post division of benefits
• Impede diffusion of standard
• Most IPR policies have two components
� 1. Disclosure Rules• Participants must declare “possibly essential” patents
• Generic vs. Specific IPR disclosure
• Disclosure timing
� 2. Licensing Commitments• FRAND
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2. Standards & PatentsStandard Setting Organizations
• FRAND (Fair, Reasonable and Non discriminatory)
• Fair � only essential essential� no bundling � no grant
backs � mandatory exclusivity
• Reasonable � What is a reasonable royalty? „royalty
stacking“
• Non-discriminatory � terms and the rates must treat each
individual licensee in a similar manner
IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
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2. Standards & PatentsRoyalties
0 % 5 % 10 % 15 % 20 % 25 %
GSM, no cross licensing
Typical 8%
Typical 4%
Typical 12%
Typical 9%
Typical
11%?
GSM, cross licensing
GSM/UMTS, no cross licensing
GSM/UMTS, cross licensing
LTE (only), no cross licensing
LTE (only), cross licensing
IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
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2. Standards & PatentsRoyalties LTE
IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
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2. Standards & PatentsRoyalties Wifi
IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
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2. Standards & PatentsIndustry
IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
0
20.000
40.000
60.000
80.000
100.000
120.000
140.000
160.000
ELECTRICITY PHYSICS PERFORMING
OPERATIONS;
TRANSPORTING
HUMAN
NECESSITIES
CHEMISTRY;
METALLURGY
MECHANICAL
ENGINEERING;
LIGHTING;
HEATING;
WEAPONS;
BLASTING
ENGINES OR
PUMPS
FIXED
CONSTRUCTIONS
TEXTILES; PAPER
H G B A C F E D
13
2. Standards & PatentsWhy holding SEPs
1 2 3 4 5
Generating licensing revenue
Joining patent pools / increase bargaining position
in patent pools
Influencing technological trajectory or standards
competition
Entering into cross-licensing agreements /
increasing bargaining power in licensing…
Facilitating own market entry
Signalling own technological competencies
Securing freedom to operate / reducing risk of
being accused of infringing
Essential IPR owner
IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
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2. Standards & PatentsProblems with SEPs
Problems:
• Patent ambush
• Participant allegedly knows it has a SEP and intentionally fails to
disclose it (Dell, Rambus, Unocol FTC cases)
• Non-F/RAND licensing terms
• Participant discloses SEPs and makes F/RAND commitment, but later
offering non-F/RAND terms (Qualcomm/Broadcom case)
• Transfer of F/RAND commitments
• Are F/RAND commitments bound to the patent or holder?
• Vague IP Policies
• SEP owners state that they are “prepared to grant a license or that
they will enter license negotiations in good faith to offer FRAND
terms” (e.g. as to the ETSI IPR policy)
IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
15
2. Standards & PatentsProblems with SEPs
Patent-Hold-Up? Reverse Hold-Up?
� Fear that an SEP owner may block a whole technology?
� Patent holder make use of their competitive position and may
increase royalties!
• Patent holders complain about “willing” licensees that delay payment or
do not agree to FRAND terms
• Constrain of injunctive relief kills leverage!
• Problem of enforcement, legal costs etc.
IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
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3. SEP declarationsEvolution
IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
0
1000
2000
3000
4000
5000
6000
7000
8000Broadband Forum
ATIS
TIA
ANSI
IETF
ITU
ITUR
IEC
IEEE
ISO
ITUT
ETSI
17
3. SEP declarationsEvolution
IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
0
2.000
4.000
6.000
8.000
10.000
12.000
14.000ATIS
Broadband Forum
TIA
IEC
ITUR
IETF
ITU
ANSI
IEEE
ISO
ITUT
0
50.000
100.000
150.000
200.000
250.000
300.000
350.000
400.000
ETSI
18
3. SEP declarationsBlanked Disclosures
Blanket
statement
34%
Specific
statement
66%
� Occurrence of blanket disclosures
IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
19
3. SEPs & litigationEvolution
� 20-Year Cumulative Litigation Hazard
Declared Essential Patent 15.9%
Vintage / class baseline 2.9%
IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
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3. SEPs & transfer of ownershipSales of patents in the IT industry
0
200
400
600
800
1000
1200
1997 1999 2001 2003 2005 2007 2009
� SEP transfer 1997-2009
IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
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4. SEPs & LicensingCumulative Patent License – Patent Pool
• Patent Pool: “…an agreement between two or more patent owners to
license one or more of their patents to one another or third parties.”
(USPTO)
� Single license contract for a bundle of patents “one-stop shopping”
� Pools may reduce multiple marginalization and transaction costs and
facilitate patent enforcement
� Patent pools are designed to mitigate patent thicket problems (Shapiro,
2001); help to enforce rights (Delcamp, 2013)
IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
22
4. SEPs & LicensingCumulative Patent License – Patent Pool
IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
23
4. SEPs & LicensingCumulative Patent License – Patent Pool
IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
24
� Patent Pool Launches and Success as to
coverage and
4. SEPs & LicensingCumulative Patent License – Patent Pool
IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
25
5. Policy DiscussionPrivate vs. Policy governance
• Do nothing… let the courts sort it out
• Private governance
– Clarify (F)RAND policies
• Policy objectives, injunctions, damages, disclosure timing
– Alternative IPR rules
• Ex ante royalty caps, royalty-free IPR, “NAASTy”
– Alternative SSO structures
• Integrated collective licensing (Bluetooth, DVB, HDMI)
– Unilateral commitments
• Apple/MS/Cisco/Moto-Google: Rate, Base, Scope, Transfer and Injunctions
• Government policy
– Patent policy reforms (Office-SSO cooperation, Remedies Law)
– Antitrust “safe-harbors” for SSOs
– Procurement preferences (e.g. OMB A-119)
IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
5. Policy DicussionIntermediate problems and solutions
Problems
• No transparency which patents are standard essential and need to be
licensed
• Especially new market entrants find it difficult to oversee which patents
to license � Legal uncertainty may lead inefficiencies and a competitive
disadvantage
Solution
� Most firms try to stay under the radar!
• Small firms are not observed by bigger players
• Litigation is expensive and usually aims to fight big market players
� Upfront know how about the extent of IPRs
� Patents and Standard Platform
27IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
IPlytics GmbHThe platform solution OpenPSP
28IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
Multiple Data Resources
160,000
Records on
Companies &
Products
300,000
Patent
Declarations
1,5 Mio.
Standards
Documents80 Mio.
Patent
Documents
1,500
Industry
Alliances
�IPlytics integrates multiple data sources
29IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
Patents
� 80 Mio. patent documentsStandards
� 1,5 Mio. standard documents
� IPlytics allows simultaneous searching
30IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
�Rank and Valuate Patent Portfolios
31IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
0
1,500
3,000
4,500
6,000
7,500
9,000
10,500
12,000
13,500
1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Qualcomm Incorporated InterDigital Technology Corp. LG Electronics Inc.
1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
0
1,500
3,000
4,500
6,000
7,500
9,000
10,500
12,000
13,500
1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Qualcomm Incorporated InterDigital Technology Corp. LG Electronics Inc.
1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
�Track Patent Portfolios over time
32IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
�Compare & Locate Patent Portfolios
33IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
IPlytics GmbHThe Search Interface
� Standardization activities vs. patent activities
Use Case
Security Issue
Energy
Supply
(8,491)
Energy
Generation
(1,908)
Power
Consumption
(4,774)
Smart Water
(16)
Smart Gas
(25)
Smart Heat
(16)
Smart
Electric
(78)
authentication (2,412) 2 2 1 0 0 0 2
privacy (462) 0 0 0 0 0 0 1
device identification (1,723) 26 1 7 0 0 0 0
security (15,465) 176 37 34 2 3 16 35
network security (1,965) 31 15 10 1 2 8 18
intrusion security (369) 54 1 2 0 0 0 0
firewall (43) 0 0 0 0 0 0 0
attack resistance (988) 1 0 0 0 0 0 0
device control (6,725) 366 21 203 1 3 9 11
Use Case
Security Issue
Energy
Supply
(8,491)
Energy
Generation
(1,908)
Power
Consumption
(4,774)
Smart Water
(16)
Smart Gas
(25)
Smart Heat
(16)
Smart
Electric
(78)
authentication (2,412) 2 2 1 0 0 0 2
privacy (462) 0 0 0 0 0 0 1
device identification (1,723) 26 1 7 0 0 0 0
security (15,465) 176 37 34 2 3 16 35
network security (1,965) 31 15 10 1 2 8 18
intrusion security (369) 54 1 2 0 0 0 0
firewall (43) 0 0 0 0 0 0 0
attack resistance (988) 1 0 0 0 0 0 0
device control (6,725) 366 21 203 1 3 9 11
34IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
IPlytics GmbHThe Search Interface
� Standardization activities vs. patent activities
Use Case
Security Issue
Near Field
Communication
(177)
Bluetooth
(39)
LTE
(7,420)
UMTS
(18,890)
WiFi-802.11
(225)
authentication (2,412) 0 0 112 198 18
privacy (462) 0 0 5 7 7
device identification (1,723) 0 0 0 0 0
security (15,465) 6 2 237 514 25
network security (1,965) 0 0 45 120 18
intrusion security (369) 0 0 0 0 0
firewall (43) 0 0 0 0 0
attack resistance (988) 0 0 0 0 0
device control (6,725) 0 5 1 0 14
Use Case
Security Issue
Near Field
Communication
(177)
Bluetooth
(39)
LTE
(7,420)
UMTS
(18,890)
WiFi-802.11
(225)
authentication (2,412) 0 0 112 198 18
privacy (462) 0 0 5 7 7
device identification (1,723) 0 0 0 0 0
security (15,465) 6 2 237 514 25
network security (1,965) 0 0 45 120 18
intrusion security (369) 0 0 0 0 0
firewall (43) 0 0 0 0 0
attack resistance (988) 0 0 0 0 0
device control (6,725) 0 5 1 0 14
35IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
35
IPlytics GmbHIn press
� Handelsblatt Deutschland 9. Oktober 2013:
“IPlytics, Wegweiser durch den
Patent Dschungel”
IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
36
…more information on IPlytics.com
IPlytics GmbH, Ackerstrasse 76, 13355 Berlin, Germany ,www.IPlytics.com, [email protected]
37
Thanks for your attention!
Any Questions / Ideas / Thoughts ?
Dr. Tim Pohlmann
MINES ParisTech
http://www.cerna.ensmp.fr
www.innovationtomorrow.wordpress.com
Berlin Institute of Technology
www.inno.tu-berlin.de
,
Ackerstrasse 76, 13355 Berlin, Germany
Telefon: +49 314 78924,
Web: www.iplytics.com,
Email: [email protected]