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Ip Due Dilligence In India
1.
IP DUE
DILIGENCE © 2010 Vaish Associates Advocates. All rights reserved. By Intellectual Property & Information Technology Laws DivisionVaish Associates AdvocatesIndia Vijay Pal Dalmia, AdvocateHead Intellectual Property & Information Technology Laws Division
2.
3.
“What are the
facts”
4.
An assessment
5.
“What do I
think of this”
6.
A validation or
corroboration
7.
“Is this what
I’m told it is”
8.
“am I getting
what I understand I should be getting”
9.
Types of due
diligence
10.
IP ownership and
rights due diligence
11.
patent position due
diligence (validity and infringement)
12.
scientific / technical
due diligence© 2010 Vaish Associates Advocates. All rights reserved.
13.
14.
License agreement
15.
Assignment of IP
16.
Corporate merger
17.
Financing
18.
Takeover
19.
Tax Benefits
20.
Joint venture© 2010
Vaish Associates Advocates. All rights reserved.
21.
22.
What is the
value
23.
Hence level of
risk
24.
Who owns it
25.
could I sue
or could someone sue me?
26.
Better exploitation of
IP
27.
licensing in or
out of technology
28.
Risk Minimisation ©
2010 Vaish Associates Advocates. All rights reserved.
29.
WHO? In case
of all types of corporate ventures, both parties should undertake the due diligence. In case of licensing agreement Both licensor and licensee. Licensor, to ascertain the licensee’s ability to pay the licensor or exploit the licensed IP Licensee, to ensure that the licensor has the power to grant the license. Similarly, In case of assignment agreements, both the assignor and the assignee should conduct the due diligence on each other. © 2010 Vaish Associates Advocates. All rights reserved.
30.
31.
Determine value of
IP assets
32.
33.
Subject matter itself
34.
Clear chain of
title/Ownership
35.
Scope of rights
36.
Territory
37.
Validity of rights
38.
Infringement concerns addressed/Freedom
to Operate© 2010 Vaish Associates Advocates. All rights reserved.
39.
40.
To ascertain that
it can provide reps and warranties that Licensee will ask for
41.
To ascertain who
are the beneficiaries of the license, or who is the Licensee/user (scope of the enterprise)
42.
Ensure third party
contracts/licenses are being supervised and managed efficiently
43.
IP Policies and
Procedures
44.
To ascertain Licensee’s
ability to pay/exploit
45.
To ensure technology
is protected under foreign laws© 2010 Vaish Associates Advocates. All rights reserved.
46.
Valuation of Intellectual
Property IP Audits should be conducted to ascertain the value of IPRs which are used in each department e.g. Manufacturing- patents, designs, trade secrets Research- patents, trade secrets Marketing- trademarks, copyright © 2010 Vaish Associates Advocates. All rights reserved.
47.
Valuation of Intellectual
Property Legal entitlements Other factors Use a qualified valuator © 2010 Vaish Associates Advocates. All rights reserved.
48.
Diligence and Valuation
Diligence information will assist in determining value of intellectual assets Determine value of intellectual assets in context of overall Target value Forcing Target to resolve diligence issues increases value of intellectual assets © 2010 Vaish Associates Advocates. All rights reserved.
49.
50.
Existing
51.
Pipeline
52.
Value Propositions
53.
What provides competitive
advantage (CA)
54.
Examine patents
55.
CA covered by
claims (pending and/or issued)
56.
Ease of Design
Around
57.
What about design
changes (drift)
58.
Patent Searches/Analysis© 2010
Vaish Associates Advocates. All rights reserved.
59.
60.
Confirm target’s rights
in the I.P.
61.
Confirm validity and
enforceability of I.P. rights
62.
Identify intellectual capital
not formally protected
63.
Identify relevant third-party
I.P.
64.
Take curative steps
to minimize risk
65.
The investigation of
the assets and liabilities and the business undertaking© 2010 Vaish Associates Advocates. All rights reserved.
66.
Due Diligence in
M & A Why? Determining the advisability of the transaction Minimizing the risk of exposure for the target client Formulating a proposal for the transaction Structuring, negotiating and drafting representations and warranties that do not expose the client to risks and exposure identified during the process Determining if closing conditions can/will be met © 2010 Vaish Associates Advocates. All rights reserved.
67.
THE ART OF
CONDUCTING IP DUE DILIGENCE The owner of IP will want to disclose as little as possible during the discussion stage, especially concerning important inventions. The buyer of the IP will want to know as much as possible. The owner can have a due diligence room where the buyer can go and inspect all relevant documents, but may forbid the buyer to make copies of the same. This will help the buyer to ascertain the exact value of an IP. Eventually the party (buyer or owner) who is in a stronger bargaining position will decide the amount of information to be given for the due diligence. All information exchanged at this stage can be covered under a suitable confidentiality and non-disclosure agreement. © 2010 Vaish Associates Advocates. All rights reserved.
68.
QUESTIONS TO BE
CONSIDERED DURING IP DUE DILIGENCE Nature of the IP in question, i.e., whether it is a patent, trademark, copyright or design. How is the purported owner in possession of the IP, i.e., whether it has been assigned or licensed or whether it is being used in infringement of any third party rights. Status of the IP in foreign jurisdictions. Search of the relevant IP registries is a necessary step to be taken in this regard, but might be time consuming at least as far as foreign jurisdictions are concerned. © 2010 Vaish Associates Advocates. All rights reserved.
69.
Factors Cost and
time of conducting the due diligence Nature of the transaction Nature and value of the intellectual property Nature of the target’s business Intended use of the intellectual property after the transaction © 2010 Vaish Associates Advocates. All rights reserved.
70.
STEPS IN DUE
DILIGENCE Identification of IP Information Gathering Analysis Documenting the Transaction © 2010 Vaish Associates Advocates. All rights reserved.
71.
IDENTIFICATION © 2010
Vaish Associates Advocates. All rights reserved.
72.
Understand the IP
that Exists Registered intellectual property Unregistered intellectual property © 2010 Vaish Associates Advocates. All rights reserved.
73.
Registered Intellectual Property
Patents Trademarks Copyrights Industrial designs Domain names Integrated circuit topographies Plant breeders' rights © 2010 Vaish Associates Advocates. All rights reserved.
74.
Unregistered Intellectual Property
Inventions Trademarks Copyright Trade secrets Goodwill Moral rights Personality rights © 2010 Vaish Associates Advocates. All rights reserved.
75.
INFORMATION GATHERING ©
2010 Vaish Associates Advocates. All rights reserved.
76.
77.
Examples:
78.
Potential or actual
litigations that could result in exposure
79.
Agreements material to
the company’s business that may be affected by change of control
80.
Specifically
81.
IP portfolio
82.
Company policies and
practices
83.
Types of agreements
84.
Provisions in agreements
85.
Litigation/arbitration/mediation
86.
Claims/threats of infringement©
2010 Vaish Associates Advocates. All rights reserved.
87.
88.
Letter requesting documents
89.
Data Room
90.
Independent Investigations
91.
PTO, Copyright Office
92.
Interviews
93.
Site Investigations© 2010
Vaish Associates Advocates. All rights reserved.
94.
Site Investigations Intellectual
property management practices identification protection commercialization Infringement mitigation practices Identify intellectual property used by target locate relevant documents review of operations and products and services © 2010 Vaish Associates Advocates. All rights reserved.
95.
ANALYSIS © 2010
Vaish Associates Advocates. All rights reserved.
96.
Important Areas of
Concern Ownership Licensing Infringement © 2010 Vaish Associates Advocates. All rights reserved.
97.
98.
Assignment records
99.
Recordation
100.
Subsequent conveyances/contracts (not
recorded?)
101.
Chain of Title
102.
Corporate name changes
103.
Mergers
104.
Holding Company v.
Operating Companies
105.
Search public archives
and cross-reference
106.
Unreleased security interests
107.
Should be released?©
2010 Vaish Associates Advocates. All rights reserved.
108.
Ancillary to Ownership
Inventorship Ensure comfort level with inventors named on patents Government Rights If government sponsored technology If government market Ensure proper notice and reporting to government if applicable © 2010 Vaish Associates Advocates. All rights reserved.
109.
110.
Exclusive v. non-exclusive
111.
Field of Use
restrictions
112.
Who owns Improvements
113.
Who enforces rights
114.
Licensor necessary party
115.
Term
116.
Any unusual provisions
117.
Make sure licenses
are assignable
118.
If silent and
non-exclusive, default is not assignable
119.
If “no assignment”
clause
120.
Consider stock deal
(without dissolving target afterwards), or
121.
Get permission
122.
If not important
to deal, don’t necessarily let it drive the form of the deal© 2010 Vaish Associates Advocates. All rights reserved.
123.
124.
Freedom To Use
Opinions of Counsel
125.
Reps/Warranties
126.
Search Quality versus
Project Budget
127.
Can get very
expensive
128.
As with most
things, the more thorough, the more expensive
129.
File History Reviews
130.
Opinions
131.
Territory searched (U.S.,
Europe, Asia, etc…)
132.
Consider design changes
contemplated
133.
How blocked in
will you be?
134.
Deal Breaker© 2010
Vaish Associates Advocates. All rights reserved.
135.
Patent Analysis Identify
all patent assets Patents, pending applications, abandoned applications and patents, licenses National and foreign Current and previous companies Owner /Assignor/ Assignee licensee / licensor © 2010 Vaish Associates Advocates. All rights reserved.
136.
Patent Analysis Searches
patent number owner target related companies key employee or principal inventors interests recorded against title provincial personal property registry © 2010 Vaish Associates Advocates. All rights reserved.
137.
138.
Confirm term including
extensions
139.
Confirm payment of
maintenance fees and annuities
140.
Confirm status of
applications (published, dates for action)
141.
Claims analysis
142.
scope of the
claims
143.
Validity analysis
144.
Infringement analysis
145.
Patentability analysis© 2010
Vaish Associates Advocates. All rights reserved.
146.
Patent Analysis Confirm
Nature of Rights Review assignments / license agreements Review ownership issues Review employment agreements, joint development agreements, government contracts Analyze conception records Laboratory notebooks, R&D memos Identify blocking patents (right to use v. exclude) © 2010 Vaish Associates Advocates. All rights reserved.
147.
Patent Analysis Confirm
Nature of Rights Identify products (target and third-party) covered by patents Confirm marking Review prior art search and disclosure practice Consider updated prior art search Target’s assessment of rights / value © 2010 Vaish Associates Advocates. All rights reserved.
148.
Patent Analysis Confirm
Nature of Rights Review offensive actions against third parties Resolution Estoppel issues Reasonable royalty issues Confidentiality Term © 2010 Vaish Associates Advocates. All rights reserved.
149.
Patent Analysis Analyze
defensive trespass issues Review all legal opinions (freedom to operate, non-infringement, invalidity) Identify all past, present and future I.P. litigation Review closed cases Review pending cases Review notice letters Consider whether additional legal opinions are merited © 2010 Vaish Associates Advocates. All rights reserved.
150.
Trademark Analysis Identify
all Trademarks Registered, Unregistered, pending applications, abandoned applications National and foreign Current and previous companies Owner / Assignee/Assignor/licensee / licensor Date of First Use © 2010 Vaish Associates Advocates. All rights reserved.
151.
Trademark Analysis Searches
trademark Owner target related company predecessor company interests recorded against title provincial personal property registry © 2010 Vaish Associates Advocates. All rights reserved.
152.
Trademark Analysis Geographical
Extent Infringement analysis Registrability review Validity analysis Use review different trademark different wares and services statutory use © 2010 Vaish Associates Advocates. All rights reserved.
153.
154.
Renewals timely filed
155.
Opposition/cancellation proceedings
156.
Classes
157.
Third party use
158.
Policing/Licensing
159.
Protests
160.
No encumbrances/liens© 2010
Vaish Associates Advocates. All rights reserved.
161.
Copyright Analysis Searches
title owner security interest author © 2010 Vaish Associates Advocates. All rights reserved.
162.
Copyright Analysis Identify
all Copyrights Registered and pending applications, Not Registered Commissioned Owner / Assignee/Assignor/licensee / licensor Date of First Publication Term © 2010 Vaish Associates Advocates. All rights reserved.
163.
164.
Scope of Rights
(exclusive, non-exclusive)
165.
Registrations in Proper
Order
166.
Rights Transferable
167.
Assignments in proper
order
168.
Licensing
169.
Moral rights
170.
Grants Effective
171.
No encumbrances/liens© 2010
Vaish Associates Advocates. All rights reserved.
172.
Industrial Designs Analysis
Identify all Industrial Designs Registered, pending applications, abandoned applications and licenses National and foreign Current and previous companies Owner /Assignor/ Assignee licensee / licensor © 2010 Vaish Associates Advocates. All rights reserved.
173.
174.
Confirm term including
extensions
175.
Confirm payment of
maintenance fees and annuities
176.
Confirm status of
applications (published, dates for action)
177.
Claims analysis
178.
scope of the
claims
179.
Validity analysis
180.
Infringement analysis© 2010
Vaish Associates Advocates. All rights reserved.
181.
182.
Verification of record
owners
183.
Service agreement
184.
Assignments in proper
order
185.
Status of registration
and renewal
186.
Domain names which
contain a significant trademark
187.
are they registered
188.
who owns them©
2010 Vaish Associates Advocates. All rights reserved.
189.
190.
Analyze ownership/development issues
191.
Analyze confidentiality practices
192.
Employment agreements
193.
Non-disclosure agreements
194.
Use of “Confidential”
markings
195.
Notice to employees
of confidential nature
196.
Practices for dissemination
of information
197.
Security precautions© 2010
Vaish Associates Advocates. All rights reserved.
198.
199.
200.
The claim not
brought by the client may be as important as the one brought by or against the client© 2010 Vaish Associates Advocates. All rights reserved.
201.
DOCUMENTING THE TRANSACTION
© 2010 Vaish Associates Advocates. All rights reserved.
202.
DOCUMENTING THE TRANSACTION
DRAFTING TIPS Relevant Sections of Purchase Agreement: Definitions Assets Intellectual Property Scope of Transfer Representations and Warranties © 2010 Vaish Associates Advocates. All rights reserved.
203.
DOCUMENTING THE TRANSACTION
DRAFTING TIPS Some typical representations and warranties: Here are some lists of all the IP seller owns, has licensed from someone else and has licensed to someone else (see disclosure schedule) Seller hasn’t given any IP or rights away unless it’s disclosed Seller owns or has acquired sufficient rights to exploit the works in the way it is doing so currently Good and marketable title No liens or judgments © 2010 Vaish Associates Advocates. All rights reserved.
204.
DOCUMENTING THE TRANSACTIONDRAFTING
TIPS More Reps and Warranties: All registrations and applications to government entities with respect to IP are valid and in full force and effect and all registration and renewal fees due up to closing are paid. Right to use computer systems and software No pending, threatened claims against seller unless disclosed Seller not violating any third party rights unless disclosed Third party not violating any Seller’s rights unless disclosed © 2010 Vaish Associates Advocates. All rights reserved.
205.
DOCUMENTING THE TRANSACTIONDRAFTING
TIPS Yet MORE typical reps and warranties: Domain names and trademarks are still in full force and effect as of closing and no pending or threatened challenge to domain names, opposition, cancellation, etc. as to trademarks Assignability of contracts, rights thereunder Owns rights to customer information, supplier information or other lists included in the IP assets being sold © 2010 Vaish Associates Advocates. All rights reserved.
206.
DOCUMENTING THE TRANSACTION
DRAFTING TIPS Qualifying reps and warranties: As to time period As to materiality As to seller’s business As to particular agreements’ effect on the seller’s business “taken as a whole”, or “Individually” Disclose, disclose, disclose! © 2010 Vaish Associates Advocates. All rights reserved.
207.
DOCUMENTING THE TRANSACTION
DISCLOSURE SCHEDULES You have discovered that a number of the contracts you’ve reviewed, in particular the software development agreements and licenses, contain a requirement that your client obtain a consent to their assignment to a third party. How do you recommend that the agreement deal with this? Disclosure schedules Itemize all the contracts Seller will exercise “reasonable best efforts” to obtain consents © 2010 Vaish Associates Advocates. All rights reserved.
208.
209.
Is there a
security interest granted over the IP ?
210.
Mortgage
211.
Charge
212.
Is there a
joint owner ?
213.
Patents: one owner
cannot assign without the consent of the other (except US)
214.
Copyright: all copyright
holders must act jointly, neither can act alone
215.
Does someone have
an option over the IP
216.
Does someone have
a right of first refusal
217.
Is there an
obligation to manufacture in a particular country or state ?
218.
Does the owner
have an obligation of confidentiality© 2010 Vaish Associates Advocates. All rights reserved.
219.
Defective Due Diligence
Possible adverse impact: Discovery of a joint owner that has inflated commercial expectations and puts your capital raising or deal at risk Non-Renewal of trademark Delays in capital raising or deal Financial terms renegotiated by assignee / investor / licensee given the risks of discovered and previously undisclosed defects Know-how not transferred © 2010 Vaish Associates Advocates. All rights reserved.
220.
221.
Advantages of Due
diligence Economic life of property Lifecycle of technology Nature of property - how is it used Legal protection of property Tax benefits Forecast of revenue and operating profits attributable to property Level of research and development needed to maintain property Cost of developing competing property © 2010 Vaish Associates Advocates. All rights reserved.
222.
223.
Logical extension of
property for other uses
224.
Extent of brand
loyalty
225.
Extent of investment
needed for property to become commercially viable
226.
Analysis of key
people associated with property
227.
Extent of functional
and/or technological obsolescence (e.g. software to hardware)
228.
Transferability of property
229.
Dependency on raw
materials used by the property © 2010 Vaish Associates Advocates. All rights reserved.
230.
Duties of an
active IP Owner IP Owner should undertake its own due diligence as part of preparing IP for a capital raising or deal Discover its own defects Plug them up first Prepare IP & Contracts Map Identifies every inventor Identifies every link in the chain of ownership and rights Employee to Employer Assignment or license from collaborator Assignment from student Ownership provisions in an MTA Assignment from a contractor Demonstrates that the IP Owner has the ownership (or rights) to deal with the IP in the deal proposed © 2010 Vaish Associates Advocates. All rights reserved.
231.
WORLD’S 10 MOST
VALUABLE BRANDS © 2010 Vaish Associates Advocates. All rights reserved.
232.
WORLD’S 10 MOST
VALUABLE BRANDS As per survey conducted by Millward Brown Optimor © 2010 Vaish Associates Advocates. All rights reserved.
233.
Vijay Pal Dalmia,
AdvocateHead Intellectual Property & Information Technology Laws Division Intellectual Property & Information Technology Laws Division Flat No 903, Indra Prakash, 21, Barakhamba Road,New Delhi 110001 (India)Phone: +91 11 42492532 (Direct)Phone: +91 11 42492525 Ext 532Mobile :- 9810081079Fax: +91 11 23320484email:- vpdalmia@vaishlaw.com
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