1. IPR Awareness Programme September 3, 2015 Idea Generation By N.K.Sharma Former Managing Director NRDC At MGM College, NOIDA 13 th Nov 2010

2. IPR Awareness Programme September 3, 2015 Idea to R&D Project to Commercialization Idea Generation Idea Analysis/Feasibility/Selection Idea Protection R&D Project Proposal/Approval R&D Execution – Pilot plant/ prototype fabrication Certification/Field trials Commercial production Product Life Cycle Monitoring

3. IPR Awareness Programme September 3, 2015 Idea Generation & Identification of R&D Projects Basic Discoveries lead to new products Laser development & development of Infra Red Technology has led to at least 100 new products. Security Applications for detecting counterfeit notes Teflon has led to 4 new applications- heat resistant cables, non-stick pans, Teflon coated leather products, Teflon gaskets, Teflon based insulating materials, Teflon coated hockey stick, cricket bats etc. Plasma Technology has led to development of Plasma TV, Plasma furnaces for various coatings, Plasma welding torches, Plasma based security systems Jal Shakti, a high absorbent polymer has led to development of ‘whisper’ & non spill baby pads

4. IPR Awareness Programme September 3, 2015 Idea Generation & Identification of R&D Projects Accidental Discoveries lead to new products  Microwave Oven & popcorn  Radium  A Liquid solidifies when a magnetic field is applied  Magnetic Memory – Shaped memory alloys  Binary Code – Computers  Chemical Light  Balloon for advertising in the night

5. IPR Awareness Programme September 3, 2015 Idea Generation & Identification of R&D Projects Individual Inventions  Well crow  Zip Tie  NRI Girl in USA invents a clock that walks away after the alarm rings  Pop Spanner

6. IPR Awareness Programme September 3, 2015 For every problem there is an opportunity for a new idea Ladies pen Clothes for the disabled/Sick Interlocking Tiles Luggage trolley for moving stairs Double Decker aero – bridge for AB-380 Tire Puncture Indication Device Toilet with double flush system to conserve water Glucose/Blood drop flow rate detection device

7. IPR Awareness Programme September 3, 2015 Idea Generation & Identification of R&D Projects Incremental Innovations  Key Word Concept : reduce, improve, integrate, slow, increase, coarser, finer, quicker, longer life, additional applications, additional functions, waste reduction, cleaner etc. – applied to end products, components, raw materials, manufacturing process, by-products, environmental impact etc.  Examples:  Globe – reduce cost to Rs 10; Nano – reduce cost to RS one lakh.  New materials for broom – plastic, curled steel wire, composite.  High energy magnets for low cost shock absorber for cycles.

8. IPR Awareness Programme September 3, 2015 Idea Generation (Contd.) Further Examples of Incremental Innovations  Electric Iron Press : Development process from Wire Heating Coil to solid burnout proof semi conductor ceramic heater, thermostat for automatic on/off operation, steam press, foldable insulated plastic handle, integrated concept to reduce accidental fire etc.  Luggage Hand Trolley : Trolley cum sitting stool.  Mixer cum Grinder cum Juicer.  CFC lamps.  High Energy LED Lamps.  Spring loaded spectacle frame.  Double lock in wrist watch strap.

9. IPR Awareness Programme September 3, 2015 Idea Generation (Contd.) Combinational Inventions Mobile Phone cum Camera Mobile Phone with counterfeit note detection device Teflon coated Carbon Fiber hockey sticks / Cricket bats Blood Bags with Online HIV Detection Arrangement EXERCISE ------ 1 -------- THE CHALK PROBLEM

10. IPR Awareness Programme September 3, 2015 IPR SEARCHES One Patent leads to another (Patent Searches) “You have to listen to music to create new music” New Use Patents, example anti-magnet shock absorber Process Patents Product patents Copyright Searches

11. IPR Awareness Programme September 3, 2015 Other Ways to generate ideas Structured Brain storming Market feedback Buy Back Delphi Method Suggestion Box Complaint Box

12. IPR Awareness Programme September 3, 2015 STUDY OF NATURE God is the best designer and innovator Nothing to beat the five human senses – robots, counterfeit detection Binary code vs five digit vs decimal system Indelible ink for election purposes - Henna Chemical light - Jugnu

13. IPR Awareness Programme September 3, 2015 Structured Brain Storming Choose a theme – cost reduction, energy conservation, new packaging, safety, security, etc Select a problem – faced by clients, dealers, suppliers, employees Invite possible solutions Analyze solutions and select one

14. IPR Awareness Programme September 3, 2015 MARKET FEEDBACK Primary/ secondary market surveys Feedback from existing clients/ suppliers / dealers Feedback from competitors New tender specifications New developments in other related businesses/ products

15. IPR Awareness Programme September 3, 2015 Do you know your competitors BRBNMPL State Printing Organizations Private competitors- Lunch ticket companies - Lottery, Races, Metro and other tickets Have you studied their products Possibilities for elimination/ joining hands with Competitors Exercise – What is your competitor thinking?

16. IPR Awareness Programme September 3, 2015 DELPHI METHOD Based on principal that forecasts are better from structured group of experts Define theme/area/problem/idea Identify & Select 5 to 6 external experts for suggestions/ comments Expert facilitator tries to bring consensus among the experts by rating suggestions Select optimum solution

17. IPR Awareness Programme September 3, 2015 Selection of R&D Projects Identify risk factors in development (Assess, eliminate, reduce) Assess in-house Technical feasibility (capability in-house) Market Risk Factors Budget Risk factors Time Constraints Skilled / Technical manpower Constraints Assess R&D infrastructure requirements for the project Environmental risks Govt. Policy, Rules & Regulations impediments Cost of production estimates vs market competition IPR infringement Risks Exercise -Throwing a ball

18. IPR Awareness Programme September 3, 2015 Selection of R&D Projects Risks in Transportation, storage, use of the raw materials, by-products, end products etc to the operators and the infrastructure Stability Risks Statutory Certification Risks Competitor may take a lead

19. IPR Awareness Programme September 3, 2015

20. IPR Awareness Programme September 3, 2015 Major IP International Agreements / National IP Acts Trade Related Aspects of Intellectual Property Rights (TRIPS) Agreement, 1 st Jan 1995. The Patents Act 1970 as amended by Patents Amendment Act, 2005 The Designs Act, 2000. The Copyright Act, 1957 as amended by copyright Amendment Act, 1999. The Layout Designs of Integrated Circuits Act, 2001.

21. IPR Awareness Programme September 3, 2015 Definition of IP IP covers inventions in all fields of human endeavor; scientific discoveries; industrial designs; trademarks, service marks and commercial names and designations, protection against unfair competition, copyrights and related rights to literary, artistic and scientific works; performances of artists, phonograms, broadcasts and specifically “all other rights resulting from intellectual activity in the industrial, scientific, literary or artistic fields”

22. IPR Awareness Programme September 3, 2015 Evaluating the potential of an R&D result for obtaining IPR Evolving strategies for more effective protection at minimum staggered cost Cost of obtaining and maintaining IPR What to file (relevant IPRs), where to file, When to file and How to file? Countries, Regions (EPO), PCT What Route to follow particularly in respect of patents, design registration and registration of integrated circuits? IP Strategy Development

23. IPR Awareness Programme September 3, 2015 Types of IP Patents (Product and Process) and Utility Models (Including Business Method Patents). Copyright and related rights (including Data Protection). Industrial Designs. Trade Marks (including Collective, Certification and Service marks) Confidential Information (Trade Secrets). Layout Designs of Integrated Circuits (ICs). Geographical indications and indications of source and appellations of origin. Plant Varieties and plant Breeders Rights.

24. IPR Awareness Programme September 3, 2015 Inventor Technical details of invention Submission to Patent Filing Agencies Novelty assessment through patent search and decision for filing Drafting & Filing Processing with patent office Grant “Patent, Publish and Prosper” rather than “Publish, or Perish” Letter Document Interaction with Patent attorney ONLY FILING

25. IPR Awareness Programme September 3, 2015 Major IP International Agreements / National IP Acts Trade Related Aspects of Intellectual Property Rights (TRIPS) Agreement, 1 st Jan 1995. The Patents Act 1970 as amended by Patents Amendment Act, 2005 The Designs Act, 2000. The Copyright Act, 1957 as amended by copyright Amendment Act, 1999. The Layout Designs of Integrated Circuits Act, 2001.

26. IPR Awareness Programme September 3, 2015 Patents, which resulted in Business Disasters Polaroid’s instant photography patent cost Kodak over US$ 3 billion. Minolta in 1991 was forced to pay US $ 127.5 million to Honeywell for infringement of auto focus camera patent. Dr.Reddy Labs earned US$ 5.5 million in licensing of a new anti-diabetic drug to a large European Pharma major. Paragon paid Proctor & Gamble US $ 163.5 million plus royalties on all its diaper sales. GE was forced to pay Ponar Corp in 1997 US $ 128.7 million

27. IPR Awareness Programme September 3, 2015 DYNAMIC RELATIONSHIP BETWEEN IPR ACTIVITY AND COMMERCIALISATION Maintenance Grant of Patents Multi-National Filing Int. Patent Filing Patent Filing (PCT/National) Months 12 18 24 30 36 42 Globalisation Commercialisation Semi- Commercialisation Field Testing/ Clinical Prototype Pilot Scale Idea Stage

28. IPR Awareness Programme September 3, 2015 Knowledge Base Lab Scale Proof of Concept Pilot Plant Semi Commercial Commercial AB CD E DST UGC DBT MEPI CSIR ICAR ICMR CFR&T CA&SR Public & Private Banks Science Dev.Stage Joint Technology Development Stage Friend STAC HGT PATSER Public Venture Capitalists VCF-IDBI, SIDBI RCTC TDICI 0% TDB SPREAD

29. IPR Awareness Programme September 3, 2015 STRATEGIES FOR INTELLECTUAL PROPERTY PROTECTION ãWHICH TYPE OF IPR IS TO BE USED ? ãWHERE TO FILE IPR ? ãPLANNING OF IPR EXPENDITURE ãWHEN TO INITIATE IPR ACTIVITY ? ãWHAT TO DO WHEN IPR INFRINGEMENT OCCURS ?

30. IPR Awareness Programme September 3, 2015 WHICH TYPE OF IPR IS TO BE USED ãPRODUCT PATENTS ãPROCESS PATENTS ãINDUSTRIAL DESIGN REGISTRATION ãLAYOUT DESIGN OF INTEGRATED CIRCUITS ãCOPYRIGHT ãSTRAIN REGISTRATION ãTRADEMARKS ãTRADE SECRETS ãGEOGRAPHICAL INDICATORS

31. IPR Awareness Programme September 3, 2015 WHERE TO PATENT ãPRODUCT/TECHNOLOGY USER COUNTRIES ãCOMPETITOR COUNTRIES ãCOUNTRIES HAVING RAW MATERIAL RESOURCES ãCOUNTRIES HAVING LARGE POPULATIONS ãCOUNTRIES HAVING STRONG IPR ENFORCEMENT SYSTEM ãPCT APPLICATION VS. NATIONAL ROUTE

32. IPR Awareness Programme September 3, 2015 PLANNING OF IPR EXPENDITURE ãEXPENDITURE VS. DEVELOPMENT SCHEDULE ãCOUNTRY BLOCKS ãDELAY IN EXAMINATION/ FILING FINAL SPECIFICATION ãMAINTENANCE OF PATENTS

33. IPR Awareness Programme September 3, 2015 WHEN TO PATENT ãPRIOR TO PUBLICATION ãTESTING/MARKET TRIAL STAGE ãFILING PROVISIONAL SPECIFICATION ãCOUNTRYWISE SCHEDULING - INDIA, EUROPE AND OTHER COUNTRIES

34. IPR Awareness Programme September 3, 2015 PATENTING ABROAD OPTIONS AVAILABLE A) SEPARATE NATIONAL APPLICATIONS B) EUROPEAN PATENT CONVENTION C) PATENT COOPERATION TREATY D) OTHER REGIONAL PATENT SYSTEMS * ARIPO * OAPI * EURASIAN

35. IPR Awareness Programme September 3, 2015 APPROXIMATE INITIAL COST OF FILING A PATENT APPLICATION ABROAD Rs. 1.AUSTRALIA 60,000 2.BANGLADESH25,000 3.CHINA 1,00,000 4. E.P.O. Designating 5 countries 1,50,000 5.INDONESIA 40,000 6.MALAYSIA 30,000 7.NETHERLANDS 35,000 9.THAILAND 55,000 10. U.S.A. 80,000 11.U.K.90,000

36. IPR Awareness Programme September 3, 2015 IPR INFRINGEMENT ãPROBLEMS OF DETECTING INFRINGEMENT ãLEGAL RETAINERSHIP ãSHARING LEGAL EXPENSES

37. IPR Awareness Programme September 3, 2015 IPR Business strategy Tricks Use of “Patents of Addition” to reduce costs (as much as Rs. 50 lakhs) Extend life of patent by first filing product patent and then process patents, particularly for new chemical entities. The 42-month patent marketing war. How to detect patent infringement. Patents of Addition-to reduce patenting costs.

38. IPR Awareness Programme September 3, 2015 How to acquire useful Confidential Information International patent search through key words. Structured patent search using International patent search engines such as Devernet. US copyright search is now possible. Through Purchase of Tender documents (largest source of design information for consultants) Patent citation Index. Patents filed by competitors. PHD thesis of students.

39. IPR Awareness Programme September 3, 2015 TECHNOLOGY ASSESSMENT AND VALUATION

40. IPR Awareness Programme September 3, 2015 TECHNOLOGY RELATED FACTORS Type of Technology –Simple –Complex –Disruptive State of Development –Lab Scale –Bench Scale –Pilot Scale –Semi Commercial –Commercial ( Life Cycle Stage of S-curve) Contd..

41. IPR Awareness Programme September 3, 2015 TECHNOLOGY RELATED FACTORS (Contd.) Testing / Certification of end products –Status of Statutory Certification –Product Quality –User Feedback Stage of Development of Bye Products and Pollution / Waste Minimization Contd..

42. IPR Awareness Programme September 3, 2015 INTELLECTUAL PROPERTY RELATED FACTORS Type of protection –Patents ( India, other countries) –Design Registration –Copy right –Integrated Circuits Confidential Information –How difficult it is to replicate the technology –Technology Replication safeguards –Catalyst –Enzymes –Hidden technical features Scientist Confidentiality Status Contd..

43. IPR Awareness Programme September 3, 2015 TECHNOLOGY COMPLETENESS ASSESSMENT Know-how manual Completeness Process Optimisation ( Cost & time) Process parameter Boundary Condition Specifications Technical Danger / risk factors ( such as risk of explosion / contamination, raw material quality verification, worker safety, pollution control) Risk assessment for shut down / down time for introducing new technology Contd..

44. IPR Awareness Programme September 3, 2015 Market and Business Potential Factors –Status of Competing Technologies ( International Patent Search) Type of Application –Single vs Multiple industry Uses –Size and value of market –Market Entry Barriers Funding Related factors –Project Development Cost –Availability of Technology Commercialization Funds From Market (Equity) From Banks From Technology Development Funding Agencies / Schemes Contd.. OTHER FACTORS

45. IPR Awareness Programme September 3, 2015 Scientist Related Factors –Reputation and Experience of Technology Development Institute / University –Track record of Scientists (Industry experience) –Availability of Scientists Stability Mobility Transfer on deputation Technology Transfer Factors –Cost of Technology –Logistics of Technology Transfer –Provision of Post Technology Transfer Services Process Optimization De-bottlenecking Supervisions of Testing and Commissioning

46. IPR Awareness Programme September 3, 2015 Formulating a Technology Transfer Strategy –Territory Exclusivity –Period Exclusivity –Application Exclusivity –Coexclusive Territories –Multiple Licensing –Cross-Licensing –Buy-Back Arrangement –Mother Licensee Concept –Transfer of technology through sale of machinery with embedded technology.

47. IPR Awareness Programme September 3, 2015 ABILITY vs RISK PERCEPTION MAXIMIZING R&D RESULTS / IPR PORTFOLIO EXERCISE 2-----------THE CIRCLE PROBLEM

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53. IPR Awareness Programme September 3, 2015 Consultant’s Role in IP Protection and Technology Transfer

54. IPR Awareness Programme September 3, 2015 WHO NEEDS CONSULTANTS’ SERVICES FOR IPRs or TECHNOLOGY TRANSFER  NEW ENTERPRENEURS – Identifying Proven Technologies  EXISTING INDUSTRIES - Identifying New Technologies  R&D INSTITUTES & UNIVERSITIES – For Upscaling and marketing R&D Results  INDUSTRIAL PROMOTION ORGANISATIONS  FINANCIAL INSTITUTIONS  STOCK BROKERS  GOVERNMENT

55. IPR Awareness Programme September 3, 2015 CONSULTANTS’ SERVICES FOR R&D INSTITUTES  IDENTIFYING NEW AREAS FOR R&D  INDEPENDENT TECHNOLOGY EVALUATION  IDENTIFICATION OF PROSPECTIVE CLIENT(S)  CONDUCTING MARKET SURVEYS  PREPARATION OF FEASIBILITY/ PROJECT REPORTS  FORMULATING STRATEGY FOR IPR PROTECTION  DESIGN OF PILOT OR SEMI-COMMERCIAL PLANTS

56. IPR Awareness Programme September 3, 2015 CONSULTANTS’ SERVICES FOR NEW ENTERPRENEURS  IDENTIFYING NEW OPPORTUNITIES  SOURCING TECHNOLOGY  TECHNOLOGY EVALUATION  MARKET POTENTIAL SURVEYS  PREPARATION OF FEASIBILITY/ PROJECT REPORTS  ARRANGING PROJECT FINANCES  DESIGN & ENGINEERING/ UPSCALING  PROJECT MANAGEMENT  PREPARATION OF MARKETING PLANS  TEST MARKETING

57. IPR Awareness Programme September 3, 2015 CONSULTANTS’ SERVICES FOR INDUSTRIAL PROMOTION ORGANISATIONS  IDENTIFYING NEW INVESTMENT OPPORTUNITIES  SOURCING TECHNOLOGIES TO BRIDGE THE GAPS  DESIGN OF INDUSTRIAL PARKS/ESTATES  TECHNO-ECONOMIC EVALAUATION OF PROJECT PROPOSALS

58. IPR Awareness Programme September 3, 2015 CONSULTANTS’ SERVICES FOR EXISTING INDUSTRIES  IDENTIFYING TECHNOLOGY GAPS  SOURCING TECHNOLOGIES TO BRIDGE THE GAPS  FORMULATING DIVERSIFICATION PLANS INTEGRATED WITH TECHNOLOGY DEVELOPMENT / ACQUISITION  FORMULATING TURN AROUND STRATAGIES  FORMULATING 5-10 YEAR TECHNOLOGY PLANS

59. IPR Awareness Programme September 3, 2015 PREPARATION OF 5/10 YEARS TECHNOLOGY PLANS FOR INDUSTRY ãSTUDY OF EXISTING INFRA-STRUCTURE AND PROCESS PLANTS ãVERTICAL/HORIZONTAL DIVERSIFICATION POSSIBILITIES ãIDENTIFICATION OF NEW TECHNOLOGIES (INDIGENOUS AND FOREIGN) ãSOURCING OF THESE TECHNOLOGIES ãPREPARATION OF THE 5/10 YEAR TECHNOLOGY PLAN

60. IPR Awareness Programme September 3, 2015 WHAT IS YOUR COMPETITOR THINKING EXERCISE 3-----------THE TAPE PROBLEM

61. IPR Awareness Programme September 3, 2015  Publicity :  Where clients approach the inventor  Free publicity through interviews / news items in various media/TV, Newspapers, relevant technical magazines.  Advertisements : Paid / Complementary  Trade Fairs / Exhibitions: HOW TO IDENTIFY PROSPECTIVE CLIENTS FOR A TECHNOLOGY

62. IPR Awareness Programme September 3, 2015  Direct Mailing of preliminary information on technology to: Suppliers of raw materials required in the process of manufacture Companies having competing products Importers of the products Companies who have existing infrastructure ( plant and machinery) required for manufacture of the product. Through Project Mangers of sector specific industrial parts e.g. Technology Parks, STEPS Cross licensing possibilities

63. IPR Awareness Programme September 3, 2015 IP POLICY Depends on Industry Sector – Drug & Pharma, Bio-technology, IT and Computer Software, Manufacturing & Processing, Consumer Durable Goods etc. Depends on Complexity of technology Depends on quantum of funds required for successful commercialisation Depends on type of owner of IPR (R&D Institute,Industry, University etc.) Depends on size of Industry – MNC, Large Industry with In-House R&D setup, SME, Start up High Tech Industry

64. IPR Awareness Programme September 3, 2015 IP Policy – Basic Elements Relevant IPR’s Budgeting for IPR related activities (Filing, registration,maintenance,infringement,marketing etc) Organisational IPR setup (Committees for making IPR Decisions) Policy regarding self exploitation Vs licensing to other Parties /Ancillary units/ JV partners or Franchisees Sharing of technology fees earned withemployees Confidentiality Agreements with employees and associates (Suppliers, fabricators, Testing Agencies etc)

65. IPR Awareness Programme September 3, 2015 Steps to Formulate an IP Policy for your organization. 1.Clearly define the objectives of the IPR Exploitation Programme. 2.Formulate Basic IPR strategy to achieve the objectives.Remember IPR activity is dynamic and not static- It has to enmesh with the R&D commercialization activity on a continuing basis. 3.Integrate IPR strategy with overall business strategy for the organization.

66. IPR Awareness Programme September 3, 2015 IP Opportunities for TCE No Major IP Consultancy Company in the Country. TCE can have In-Group clientele of around 75 Tata Group Companies. TCE can formulate a specific IPR policy for each of these companies & then for other non-TATA group Companies. Patent Mining management for specific clients. TCE can provide consultancy services for International patent / copyright searches. TCE can act as a Consultant for formulating an IPR filing strategy for major inventions.

67. IPR Awareness Programme September 3, 2015 IP Opportunities for TCE (Contd.) Evaluation of IP assets in M&A agreements. IP watch service for its clients. IP infringement information services to its clients. Training on IP matters. Patent analysis for its clients IP & the stock market brokers – advisory services. Thus, becoming the leader in providing IP services in India.

68. IPR Awareness Programme September 3, 2015 IPRs important to consultants/other Tata Companies Consultants (TCE) Confidential Information Relating to Clients, sub-consultants and employees Acquisition of Confidential Info and prevention of disclosure of Confidential Info to others Industrial designs - Architectural Work & Drawings, Other Aspects relating to Aesthetics of a particular engineering projects (digital fountain clock in public places like airports, multiplexes, shopping malls) Patents : Business Methods Patents (aircraft business class 1A-1C reservation example)

69. IPR Awareness Programme September 3, 2015 IPRs important to other Tata Companies TATA MOTORS ãPatents- particularly for nano particle coatings, new alloys/materials (New Rubber/Polymers), suspension systems, new chemical processes for pickling painting, forging, casting etc, patenteable industrial designs which have functional utility in automobiles such as automatic tyre puncture indication device), Automatic Adjusting headlights for corners, Fibre reinforced plastic for fuel tanks, coolants) ãIndustrial designs - All parts of the automobiles which are visible such as headlights, mudguards, tail-lights, interiors, storage spaces etc. ãIC design registration : for various applications in Auto (GPS systems) ãTrade marks / Brand Names : Brand names for the bought out components such as stereos, ACs, Tyres etc.

70. IPR Awareness Programme September 3, 2015 Major Business Opportunities for TCE – New Technology

71. IPR Awareness Programme September 3, 2015 Major Business Opportunities for TCE – New Technology

72. IPR Awareness Programme September 3, 2015 FOLLOW-UP TASKS - Domain Focus Groups Identify the sub-sectors Patent, Industrial Design and Copyright Mining – through IPR Searches, RFP Documents etc. Mapping the Relevant IPRs for the sub-sector Prepare a Strategic Concept Paper for the domain as a business opportunity.