Securing innovation in digital manufacturing supply chains: an interdisciplinary perspective on intellectual property, technological protection measures and 3D printing/additive manufacturing

Abstract

Kwaku Adu-Amankwa is a PhD candidate at the University of Strathclyde, Glasgow, United Kingdom, based within the department of Design, Manufacturing and Engineering Management, and affiliated with the Centre for Internet Law & Policy. He researches complex security relationships associated with IP of additive manufacturing (3D printing) applications within digitally enabled/transformed supply chains. Angela Daly is a Professor of Law at the University of Dundee, Dundee, United Kingdom, jointly appointed by the Leverhulme Research Centre for Forensic Science and Dundee Law School. She conducts research across IP, data protection, competition and sector-specific regulation and human rights law. Digital supply chains (DSCs) provide several advantages over traditional physical supply chains, yet they also pose new risks, including for IP, especially when associated with three-dimensional ‘3D’ printing (3DP), also known as additive manufacturing (AM). Technological protection measure (TPM) usage in DSCs may help address the IP security issues of 3DP or AM but may result in overprotection and disregard for IP exceptions, which may also have a negative impact on innovation and other goals such as sustainability. This article considers how the IP security of 3DP/AM is addressed in DSCs, including by applying TPMs. We discuss whether the current approaches strike the right balance between the competing interests of different DSC actors. We also present some novel findings from a survey conducted with expert stakeholders to better understand IP security issues in practice. Our findings show that most respondents see IP and IP security efforts as both barriers and enablers to using 3DP/AM within DSCs. Also, the strategy chosen by most respondents for securing IP focuses on a technical approach, using inter alia TPMs. We infer that this dual perspective on IP and IP security may reflect the respondents’ differing relationship with IP in DSCs, where one may wish to create, use and secure their own IP but also encounter barriers through the inaccessibility of the IP of third parties. In the Internet age, the relationship between IP and digital technologies has become the subject of intense debate, giving rise to legislative reforms, a vast body of case law and commercial and technical adaptations extensively documented in academic literature.1 While most of the attention has focused on copyright, the interaction of digital technologies with other IP rights, such as trade marks and patents (eg for keyword advertising and software and hardware patents), has also attracted scrutiny.2 Furthermore, questions over the ownership of data and trade secrets, data and algorithms also have IP-relevant aspects.3 As digital technologies, usually Internet enabled, have evolved, the debate has moved to new areas, including Internet-of-Things (IoT), artificial intelligence (AI) and smart manufacturing, especially three-dimensional ‘3D’ printing (3DP) or additive manufacturing (AM). In many cases, these technologies give rise to interconnected issues, as they are deployed simultaneously, so that, eg a 3DP machine is part of the IoT.4 These new technologies are also vehicles for IP creation and dissemination and, in some cases, IP overreach and present issues for securing and utilizing IP, increasing the complexity of the debate. Digitalization facilitates decentralized manufacturing through a variety of technologies including 3DP, which relies on digital design files provided through digital communications means, such as the public Internet (especially for hobbyists using sites such as Thingiverse).5 Larger industrial production using digital manufacturing may mobilize securer, private networks to send and receive files and other necessary information or data to produce objects.6 In these ways, traditional supply chains, which previously typically involved centralized production in a large factory (often in China) and the distribution of products by sea, air and train, are transitioning to a different model, involving more decentralized and diffuse production, geographically closer to the end user.7 The more traditional supply chain model experienced various IP security issues, such as copycat production, including in factories that may have produced legitimate versions of products by day and counterfeit versions by night.8 However, digital supply chains (DSCs) may present more opportunities for IP infringement and, thus, reduce security for IP owners. DSCs integrating 3DP offer advantages over conventional supply chains and centralized manufacturing in terms of increased sustainability, convenience and less wastage.9 We have seen the tangible value of decentralized smart production and DSCs during the early part of the coronavirus disease 2019 (COVID-19) pandemic, which significantly disrupted traditional supply chains, especially for high-demand medical and health products, including personal protective equipment such as facemasks and testing kits.10 However, DSCs and smart manufacturing raise new concerns about IP security, as IP travelling along DSCs may be vulnerable to being hacked or misappropriated through the supply chain.11 Also, digital files in the supply chain may also contain material that would infringe the IP of others. Commentators have been raising concerns about IP security in digital manufacturing, especially 3DP, as part of broader concerns about new manufacturing technologies, such as 3DP’s disruptive effect on the theoretical underpinnings and effective enforcement of IP.12 Again, the issue of IP security and countervailing interests, including access to knowledge and medical treatment, emerged during the COVID-19 pandemic, where a particularly prominent case involved two engineers in Italy making replacement parts for a patented ventilator machine used to treat COVID patients threatened with litigation for allegedly infringing the patent.13 While in the end the case never reached a court, and the engineers may have been able to avail themselves of an exception to infringement, such threats may have a chilling effect on the use of distributed smart manufacturing.14 In this article, we focus on the issue of IP security in DSCs for smart manufacturing using 3DP or AM to consider (i) the extent to which IP is disrupted or weakened in DSCs and (ii) how IP is secured in these chains to mitigate such concerns. We summarize the relationship between 3DP and the law, focusing on IP, before considering how technical IP security measures have been mobilized in predecessor digital technologies. Here, we will focus on the debate around technological protection measures (TPMs) and digital rights management (DRM) as technical means of enforcing IP security. We consider how TPMs have been deployed in Internet-enabled content supply chains during the 1990s and 2000s, as well as the controversial legislative updates that accommodated DRM in that era, including the extent to which the right balance was struck between competing rights and We more in IP security in DSCs before research on this we offer AM as The of to parts from three-dimensional model usually as to manufacturing and manufacturing As by 3DP or AM physical and digital or products used to produce a from a digital model the industrial in the manufacturing has the manufacturing approaches distributed or different supply chain are involved in making a In digital manufacturing, supply chain are to and digital data may contain or as well as physical both These from more traditional manufacturing the industrial as the 3DP a three-dimensional from a digital design and which are in a to the using a large of material from which the is AM various advantages over traditional including and the to produce or that would be to traditional AM is known as 3DP as including in the body of on the so we this to the and manufacturing 3DP in various and at different with the printing in for that other such as and or of However, hardware and design such as along with 3DP the of 3DP to manufacturing In with a access to and an to produce that previously be on a usually This a of and However, as may be by the of 3DP has been as as may be other barriers to including the that some technical knowledge would the or of and for the and the of 3DP to and in many of law with 3DP and or and IP are these of law. The has been the to the creation of using 3DP with the a prominent and controversial involving the distribution of design files that be used with a 3DP machine to a right to these files in the of the right to and the right to has been the subject of debate and litigation in the and some in for most other in the which have more the IP has also in over 3DP, to has been litigation in this However, various have involving design files on such as and the of and to this content for IP of this is the of litigation the 3DP replacement parts during the COVID-19 pandemic, as IP issues in 3DP concerns with the of the the of files IP (especially the use of sites and the of new such as the Digital in the and the with their and and or However, 3DP from the digital content and Internet 3DP a more physical and This concerns about and 3DP, such as or products, and in and protection an IP this means that is the focus of IP law by digital concerns are by issues involving trade marks and other IP rights, a the (eg is to the Digital in the for have been on how 3DP and DSCs pose to IP and how to address these from the that IP rights are to a extent at the through the and the on of thus, is a in how IP law in different and how IP rights to manufacturing digital manufacturing This for supply chains, whether digital or they are or and Furthermore, IP rights are in third use IP the rights or These exceptions, which for IP right and between to that the right balance is struck between different (especially IP and at and that is access to for The balance to be struck between IP rights and is subject to debate, as access to such as human or and, more access to COVID-19 and these of in digital that more approaches this design be or is a for IP law and and one that may from the of TPMs. The of IP infringement is a prominent security within DSCs. have that integrating technologies of the industrial including DSCs and 3DP, for manufacturing and pose various to security securing IP and data in DSCs a and IP security is an in law and for supply chains, their but DSCs have new security issues increased and impact from data and DSCs, the of on information has become to attention to the value in the information of which may IP and for making or is DSCs, through decentralized digital and physical for the or manufacturing information to the end This be with a traditional supply where information is usually as through centralized or a the and the information such that the end the in is to as as traditional supply chains encounter IP risks, these may be increased in DSCs, making the IP security issue the more and on the secured the within is and research IP in DSCs, including research on the increased of IP infringement to traditional supply chains. As well as more theoretical on IP and 3DP including that 3DP use within DSCs would result in over to IP at a by on of the issues of IP to be over has for being to measure or to the of IP within the digital and the issue of IP infringement more at this that has to has been for the extent and of IP infringement in 3DP more The that the theoretical 3DP to conventional IP and the infringement is so in and have been to secure IP in DSCs, including the use of TPMs within the communications and TPMs as technological to the use of digital by access to such or various of such including and TPMs used for 3DP applications within supply chains using distributed (eg and DRM or to production and distributed or However, using technical to IP in DSCs may of such IP with to and have that such overreach by TPMs in digital technologies, especially the is a of this overreach and of material is to the using technical means, eg an This is usually the of the IP or the that the However, of a also the material to be used for that would infringe the TPMs is a which be used for legitimate and The of TPMs was and in the and the and contain a and that to protection and effective the of effective technological used by and in to the the IP this is to that these and addressed TPMs and copyright, 3DP also other IP The in the and have to a in many have and the overprotection of by legitimate of by an exception or to The have been in many such as through and of the in of the and and of the Digital to the eg for the to to eg of the and However, the for using these are and (eg the for a to to the of to a of a The which the in the of to in a for the public in the interests of the issue of securing IP in DSCs a have been about how TPMs may the of products, as is as a exception in many and have IP law other to products with and and the to parts are which DSCs to these may innovation and this is subject to In to the of or end in the DSC infringing IP, the IP within the DSC result in the digital of the manufacturing the physical or for As well as IP infringement, such may be and subject to law and DSC on the and have to with such as the for and in the the and personal data protection such as the for the being in the This of issues and concerns about and the use of data in manufacturing As 3DP is on digital or technologies, about whether technological of IP within DSCs of IP protection are also is a of on and in these areas, which more complexity to securing DSCs, especially manufacturing within such supply chains, from a Technological in IP management may have the effective use of TPMs conventional IP TPMs may be as early as the IP and may to the IP in we in as a for the increasing to secure IP with TPMs. management and technological protection measure is also that the also security issues and concerns across the including IP, which are this is the of research and, thus, an for In securing IP in supply chains used to manufacturing various issues in IP security, from in in different some of to the for overreach in applying to the use of for for other of IP design rights and trade The research on 3DP and IP to has involved information about how IP security is for using 3DP and DSCs about they to secure IP We to in and present from research to address this is or of a DSC in the and is a We a DSC as on the various by and technological that is based on the of data and and for digital and networks to and interaction between by making more and with and effective The focus of is based on the or supply chain model, which is by by the digital and in the physical as by We understand that both the and involved in the supply chain the digital to and that are associated with of that in the physical and be or from the digital or physical The supply chain we focus on is we to as a a used in and that digital is about making or in the digital concerns the and novel digital technologies to the of and within the supply This to printing as a within the smart manufacturing for a of and across the of supply chains are an The COVID-19 has this some within DSCs have provided of the between DSCs and traditional supply where these DSCs also or some of the of both traditional supply chains and DSCs are a that and so one consider to their or of with digital and associated digital technologies. of the supply chain are (i) over manufacturing data previously and (ii) to digital being on These may by IP rights and (eg trade also in of the increased of in the manufacturing and have for DSC to secure the supply chain and the of However, has been research on how these are addressed in in 3DP DSCs, especially from the perspective of IP security. understand this issue we present some from research that we have conducted on and We an using the which was distributed to with IP security issues in 3DP/AM DSCs, to their about securing the IP of AM applications within supply chains from to was chosen is to access to the data and result or to other in a to the This was for the and relationships between the of subject We used the in the survey as is more used in expert The survey a of questions to measure and their and with IP issues when AM is used as the manufacturing within a The two questions as securing and IP when using AM in the supply with IP for using AM within the supply We also which provide some on the and the of consider IP an or a to using AM within supply consider securing the IP of AM a or an to using AM within supply the about the they would to secure their IP within a DSC when using of for securing and IP for when using AM in a supply The with the of to the and of respondents at the and This to on the of about IP and for IP security the findings with on IP, AM and TPMs to this research are across including law and chosen to address the We with in some of 3DP, DSCs and IP to in the This involved a of to some about we as to in the We from using the on and networks (eg and and to be in the of of was a in (eg or information in may have in or to whether knowledge and Furthermore, conducted using are usually as a yet they have a and the for of the survey was to be a to the we have with a that to and they to to to their to from and to from various which we have the and As in most of respondents’ in or by a in academic the in of eg engineers and or This a distribution of across the of IP, supply security and management from technical and The about their of in securing IP and IP security for AM applications within supply chains in two that the securing IP and an IP security strategy for AM use within the supply some that they or may have such when using AM within supply chains. We use the Manufacturing as an in and to to supply chains that use AM as their of or with on additive manufacturing supply chains. was that, and to whether they with securing IP, the with more and to whether they in an IP strategy for AM use within supply chains. In two about their of the effect of IP and security on using AM within supply chains. whether IP was a or an to using AM within supply chains, and whether securing IP was a or an to using AM within supply chains. that of the that IP, as well as securing IP, is both a and an to using AM within the supply of on additive manufacturing supply chains. is that for both questions on IP and securing IP, the significantly about whether was a of or an of when the of or are they for about a third of this is closer to the of see the effect as both a and an and about a of that these are a an and We about their IP security and management for AM use in the supply the for this that using technical approaches (eg to and secure IP when using AM in a supply This was by approaches with approaches (eg protection in IP law such as a of that an access was and the was IP security security strategy was at by different the various they more one different The technical was in of by the and the in of the for of the disregard emerged in two of as the IP The most IP strategy and technical by of This was by (i) technical and by of (ii) technical and as well as by of respondents technical and by of and and technical by of respondents the IP by of we a of and as well as and a of technical and as well as and a of and the as the means to address IP security was conducted on the to relationships within the This to that the of IP on AM use within supply chains to the of IP security that are the and security strategy and on additive manufacturing supply chains. We that the IP security and management approaches for questions about the effect of IP on using AM within the supply in which that they as both a and an As the a technical a a an and a disregard in that their for securing effect on using AM within the supply chain in of a technical a a an and a disregard in that they consider effect on using AM within the supply chains as a an also a technical a a and an in as for securing that they consider securing effect on using AM within the supply chains as a an technical and approaches over a and an when that effect on using AM within the supply chains was a the strategy that was associated with that was a by and technical approaches and, an when securing effect on using AM within the supply chains was as a the strategy that emerged was in of a by for a by and technical approaches when effect on using AM within the supply chains was as an their for a technical over a by a an as for securing IP on using AM within the supply chains in However, when securing effect on using AM within the supply chains was as an a for a technical a a and an in The that TPMs their are the strategy to secure and in the of AM applications within supply chains. is strategy especially when securing IP a to using AM within the supply chains. was conducted on to relationships within the This to that the IP when using AM within supply chains to the of IP security that the and security strategy and with many that they have in securing IP or IP security their that they strategy to secure their IP when using AM within supply chains. these respondents that their in of a technical and a over a an and a disregard when with the of securing IP when using AM within supply chains. the that these respondents their for a technical by a a an and a disregard when with the of IP security when using AM within supply chains. to being to IP the technical and over the disregard and approaches to being with IP security when using AM within supply chains, the IP security technical approaches and to being with securing IP when using AM within supply chains a for a technical and a over a to being with IP security when using AM within supply chains their in of a technical and a before considering a over a disregard be that the IP security in with IP when using AM within supply the technical was the most by the approach, over the Our show the of IP and IP security for digital manufacturing in DSCs, 3DP or AM applications within such chains. We that most IP to a dual both a and an to using 3DP/AM in most that securing IP was both a and an to using 3DP/AM in DSCs. These may of the with and using their own IP for 3DP/AM applications within DSCs and, on the other their to use IP However, the that this was the perspective that of IP being to within DSCs, or 3DP/AM traditional IP, are prominent in this complexity in the of IP and IP security is a for more research with expert the several to secure IP in DSCs including (eg or design rights that emerged as the third most technical approaches to IP, using are the most strategy for 3DP/AM use within DSCs, most would use these in with other including commercial and protection of from the and based on and that be associated with their of to IP issues within DSCs that use security strategy and with IP was that with securing IP or with IP security or a technical was the most by both and but academic a and approaches when with securing IP, yet a an IP security This a for TPMs across most is that more one strategy we infer from the that they a of and they to strike some balance to IP when using 3DP/AM within DSCs. security strategy and on AM supply was that a effect of IP or a effect of securing IP or technical and approaches the most by a of technical and academic a of technical and technical and approaches when the effect of IP, yet a effect when securing Furthermore, a dual effect of IP or a dual effect of securing IP a and an a technical this and technical academic a for approaches and and The complexity on the by when IP was from the approaches they but was most was the of academic that may the on IP being in especially when using 3DP/AM within DSCs. This may also reflect within as a less innovation and more use and dissemination of IP to other of research is that are usually in their we with we more about their on these different in differing ways, in different or at different in the DSCs, which are for Furthermore, focus on 3DP/AM within DSCs may to findings for digital manufacturing supply chains and IP some the that and may be with research to the of in and digital manufacturing supply chains. The for using TPMs to secure IP for 3DP/AM applications within DSCs may be an means of and securing their own issues about the overreach of IP protection and the effect on the legitimate of by 3DP/AM in This may some and of using decentralized including printing and may innovation to 3DP/AM use within DSCs. that legitimate IP protection is an overreach rights may be a for research in 3DP/AM and DSCs, especially in the current of to conventional supply chains and the to production and increasing in of

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