高堀博之(雙語(yǔ))專利許可原則

PATENTLICENSINGPRINCIPLES

專利許可原則ConversantIntellectualPropertyManagement.12014/09/12ConversantIPJapanKKGM/MD（代表取締役）HiroTakahori（高堀博之）Patentlicensingisa$150billionannualbusinessintheU.S.thatfacilitatesthesharingofinventionswithfirmsthatdevelopthemintonewproductsandservices.Butitisalsoabusinesswhereabuseshaveoccurred.Therefore,licensorsandlicenseesalikemustactETHICALLY,RESPONSIBLY,KNOWLEDGEABLY,andwithRIGORtoachievemutualbenefitandeconomicgrowth.在美國(guó)，專利許可是一個(gè)年產(chǎn)值1500億美元的行業(yè)，通過(guò)專利許可，公司間可共享發(fā)明，并將這些發(fā)明發(fā)展成新產(chǎn)品和新服務(wù)。但在該行業(yè)中也存在專利濫用現(xiàn)象。因此，許可方和被許可方均須恪守道德規(guī)范，對(duì)自己的行為負(fù)責(zé)，十分告知原則，併採(cǎi)取厳慎之挙，以實(shí)現(xiàn)互惠互利和經(jīng)濟(jì)發(fā)展。ConversantIntellectualPropertyManagementbelievesthefollowing10principlesarethebasisofethicalandbeneficialpatentlicensing.Weactaccordingtotheseprincipleseveryday.Conversant知識(shí)產(chǎn)權(quán)管理公司認(rèn)為，以下10項(xiàng)原則是約束專利許可的道德基礎(chǔ)，其有益于專利許可的健康發(fā)展。我們每天依照這些原則行事。Introduction1.

Apatent’strue,directownershipshouldalwaysbedisclosedandneverhiddenbehindshellorshamcompanies.1.

應(yīng)始終披露專利的真正直接所有權(quán)，不得隱藏在空殼公司或虛假公司背后。OwnershipObligations

所有權(quán)義務(wù)2.

Alicensorshouldonlyseektolicenseorenforceaqualitypatentforwhichithasinvestedmaterialresourcestoconductduediligenceregardingitstechnicalmerits,claimdefiniteness,andscopeandrelevanceofthepriorart,ifany.2.

許可方應(yīng)僅尋求許可或強(qiáng)制執(zhí)行高質(zhì)量的專利，且已投入物質(zhì)資源來(lái)盡職調(diào)查這些專利的技術(shù)優(yōu)勢(shì)、權(quán)利要求的明確性和范圍，以及現(xiàn)有技術(shù)的關(guān)聯(lián)性（如果有）。LicensorObligations

許可方義務(wù)3.

Alicensorshouldenterintonegotiationswithapotentiallicenseeonlywhenithassuchaqualitypatentanddiligentinvestigationindicatesitis(a)valid,(b)enforceable,and(c)beingused,orlikelytobeused,bythepotentiallicensee.Thelicensorshouldbewillingtoprovidedocumentedevidenceofuse,includingclaimcharts,tothelicenseeforitsreview.Andifalicensorlearnsduringdiscussionswiththelicenseethatthepatentisnotlikelytobevalid,orenforceable,orusedbythelicensee,thenthelicensorshouldwithdrawthatpatent.3.

許可方應(yīng)僅在擁有此類高質(zhì)量專利，且盡職調(diào)查證實(shí)該專利（a）有效、（b）可執(zhí)行且（c）由潛在被許可方正在使用或可能使用時(shí)，同潛在被許可方進(jìn)行協(xié)商。許可方應(yīng)愿意向被許可方提供專利使用的文件記錄證明，包括權(quán)利要求圖表，供其審查。且如果許可方在同被許可方商討的過(guò)程中得知專利可能無(wú)效、不能執(zhí)行或無(wú)法被被許可方使用，則許可方應(yīng)撤回該專利。LicensorObligations

許可方義務(wù)4.

Althoughalicensorisbylawfreetolicenseanywhereinachainofdistribution,aresponsiblelicensorshouldnotseeklicensesfromorthreatenlitigationagainstabusinesssuchasastart-upcompany,alocalretailer,orasmallend-usercustomerunlessitcompetesagainstthelicensor.4.

雖然按照法律，許可方可自由地將專利授權(quán)給分銷

鏈中的任意人員，但負(fù)責(zé)任的許可方通常不應(yīng)向初創(chuàng)公司、本地零售商或小型終端用戶客戶謀求專利許可，也不應(yīng)威脅提起訴訟，除非其與許可方直接競(jìng)爭(zhēng)。LicensorObligations

許可方義務(wù)5.

Alicensee’sresponsibilityistoinvestigatethelicensor’sclaimsfairlyandhonestly,andifitdeterminesthatthelicensorislikelytohavevalidandenforceableclaims,conductgoodfaithdiscussionswithawillingnesstotakealicenseonfairandreasonableterms.5.

被許可方有責(zé)任調(diào)查許可方的權(quán)利要求是否公平、誠(chéng)實(shí)，且如果確定許可方可能擁有有效且可執(zhí)行的權(quán)利要求，那么被許可方應(yīng)誠(chéng)懇地與許可方商談，并表示愿意在公平合理的條件下接受許可。LicenseeObligations

被許可方義務(wù)6.

Alicenseeshouldengageingoodfaithdiscussionswiththelicensorandmakereasonable,good-faitheffortstotimelymeetwithandrespondtothelicensor.Individualsactingonbehalfofthelicenseemusthavetheauthoritytonegotiatewith,andifappropriate,reachanagreementwiththelicensor.6.

被許可方應(yīng)與許可方誠(chéng)懇商談，并通過(guò)合理、誠(chéng)懇的努力來(lái)及時(shí)滿足并響應(yīng)許可方的要求。代表被許可方行事的個(gè)人必須有權(quán)同許可方協(xié)商，并在適當(dāng)時(shí)同許可方達(dá)成協(xié)議。LicenseeObligations

被許可方義務(wù)7.

Alicenseeshouldbewillingtotakeafairandreasonablelicensewhereappropriate.Thismeansthatthelicenseemustfairlyacknowledgethatifitsactivitiesuse,orarelikelytouse,theinventionclaimedinalicensor’spatent,thenthelicenseeowesthelicensorreasonablecompensationfortheuseofthatpatentedtechnology.Alicenseeshouldnottakeafreerideoffanother’spatentedinnovation.7.

在適當(dāng)情況下，被許可方應(yīng)愿意接受公平合理的許可。這意味著被許可方必須明確承認(rèn)，如果其活動(dòng)使用或可能使用許可方專利中要求保護(hù)的發(fā)明，則被許可方應(yīng)給予許可方合理的專利技術(shù)使用補(bǔ)償。被許可方不應(yīng)免費(fèi)使用他人的專利創(chuàng)新。LicenseeObligations

被許可方義務(wù)8.

Duediligencebybothpartiesincludesareasonableefforttoreviewandfairlyassessthetechnicalmeritsofthelicensor’spatentasitrelatestothelicensee’sproductsandprocesses,thelegalissuesrelatedtoclaimconstructionandotherpatentmatters,thebusinessesofboththelicensorandthelicensee,andthemarketrelatedtotheirpatents,products,andprocesses.8.

雙方進(jìn)行的盡職調(diào)查包括通過(guò)合理努力審查并公平評(píng)估許可方專利的技術(shù)優(yōu)勢(shì)（因?yàn)槠渖婕氨辉S可方的產(chǎn)品和工藝）、與權(quán)利要求結(jié)構(gòu)和其他專利事務(wù)相關(guān)的法律問(wèn)題、許可方和被許可方的業(yè)務(wù)，以及與他們的專利、產(chǎn)品和工藝相關(guān)的市場(chǎng)。DueDiligenceObligations

盡職調(diào)查義務(wù)9.

Litigationshouldonlyberesortedtobyalicensorwhengood-faithlicensenegotiationsproveunsuccessfulorapotentiallicenseedemonstratesanunwillingnesstonegotiateingoodfaithforalicense.Alicensorshouldinitiatelitigationonlyforthepurposeofobtainingappropriatecompensationfortheuseofitspatentedtechnology,orthatofarelatedportfolioofpatents,andneverforthepurposeofachievinganuisanceorlitigation-cost-basedsettlement.9.

僅當(dāng)誠(chéng)懇的許可協(xié)商不成功，或潛在被許可方表示不愿意誠(chéng)懇地關(guān)于許可協(xié)商時(shí)，許可方應(yīng)提出訴訟。許可方應(yīng)僅出于獲取適當(dāng)?shù)膶＠夹g(shù)使用補(bǔ)償或獲取相關(guān)專利組合使用補(bǔ)償?shù)哪康牟⑶也坏贸鲇谧虜_對(duì)方或基于訴訟成本的解決方案的目的而提出訴訟。LitigationObligations

訴訟義務(wù)10.

Bothpartiestolitigationshouldactethicallyandresponsiblyduringallproceedings,andalwaysbewillingtodiscussareasonablesettlement.Obstructionist,irresponsible,orunreasonablebehaviorbyeitherparty,bothpriortoandduringlitigation,shouldhaveconsequencesf