patent information annual conference of china

Patent Information Annual Conference of ChinaProtecting and Leveraging Patent Information in Enterprise Protecting and Leveraging Patent Information in Enterprise

Management and LicensingManagement and LicensingPresented by: Esther H. LimSeptember 5, 2011, Beijing

中国专利信息年度大会企业专利许可管理中如何利用专利信息企业专利许可管理中如何利用专利信息

演讲人：林艺思2011年 9月 5日，北京

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Protecting and Managing Patent Information for a Successful Enterprise

Patent Licensing Trends, Developments, and Strategies Leveraging the Value of Patent Portfolio in a Global

Marketplace

成功企业保护和管理专利信息策略专利许可的趋势、发展和战略在全球市场开发利用专利组合的价值

Introduction引言

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Protecting and Managing Patent Information for

a Successful Enterprise

成功企业保护和管理专利信息

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Why Protect and Manage Patent Information?为什么要保护和管理专利信息 ?

The Value of Innovation创新的价值

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IP = Revenue• “[Microsoft is] an IP company by definition…. [W]e turn [our] knowledge, that intellectual property, into licensing revenue.”

— Horacio E. Gutiérrez Corporate Vice President and Deputy General Counsel, Microsoft

• “The value [Apple] bring[s] to the marketplace and the world is the ability to keep dreaming up seminal ideas, like iPods.”

— Executive from Apple Inc.


知识产权 = 收入• “[微软 ]本质上是一家知识产权公司… . [我们 ]将 [我们 ]的知识，即知识产权，转化为许可收入 .”

— Horacio E. Gutiérrez 公司副总裁和副总顾问，微软

• “[苹果 ] 带给市场和世界的价值是保持创造非凡创意的能力，比如 iPods.”

— 苹果公司经理人

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中国专利统计数据 2

专利申请的数量

授予专利的数量数量

年2010年 1月到 11月

图标 1：基于从中国国家知识产权局网站获得的统计数据

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Patent Applications Received受理的专利申请

Year Foreign Growth Rate Domestic Growth Rate年度外国增长率国内增长率2000 30,343 25.03% 140,339 27.62%

2001 37,800 24.58% 165,773 18.12%

2002 47,087 24.57% 205,544 23.99%

2003 57,249 21.58% 251,238 22.23%

2004 74,864 30.77% 278,943 11.03%

2005 93,107 24.37% 383,157 37.36%

2006 102,836 10.45% 470,342 22.75%

2007 107,419 4.46% 586,734 24.75%

2008 111,184 3.50% 717,144 22.23%

2009 99,075 -10.89% 877,611 22.38%

2010 112,858 13.91% 1,109,428 26.41%

SIPO: Foreign and Domestic Applications Received中国国家知识产权局：受理的外国和国内申请

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SIPO: Foreign and Domestic Applications Received中国国家知识产权局：受理的外国和国内申请

比例

年

国外

国内

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“By the end of the 12th Five Year Plan (2011-2015), invention applications received by SIPO every year are expected to double over the current number. More companies will have their own patents and [intellectual property rights].”

-Tian Lipu, SIPO Commissioner

“到第 12个五年计划（ 2011－ 2015）结束时，中国国家知识产权局受理的发明申请有望在现有数字上翻一番。更多公司将拥有自己的专利和知识产权。”

-田力普 , 中国国家知识产权局局长

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Patent Filings under PCT in 2010 2010年基于《专利合作条约》提出的专利申请

U.S. filings decreased 1.7% from 2009, declining for 3rd consecutive year China filings increased 56.2% from 2009, making it 1st in growth rate

美国申请比 2009年减少了 1.7%，连续 3年下降中国申请比 2009年增长了 56.2%，增长率排名第一

Rank排名

Country国家

Number of Patents专利数量

1 United States美国 44,855

2 Japan日本 32,156

3 Germany德国 17,171

4 China中国 12,339

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• Enforcement• Litigation

• Damages• Injunctions• Settlements

• Alternative dispute resolution

• 强制执行• 诉讼

• 损害赔偿金• 禁止令• 和解

• 替代性争议解决

How to Protect and Manage Patent Information如何保护和管理专利信息

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• Business arrangements• Licensing / Cross licensing• Mergers and Acquisitions• Collaborative arrangements

• Joint development, joint ventures, financings, etc.

• 商业安排• 许可 /交叉许可• 兼并和收购• 合作安排

• 共同开发、合资、融资等等

How to Protect and Manage Patent Information如何保护和管理专利信息

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Patent Licensing Trends, Developments, and Strategies

专利许可的趋势、发展和战略

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Fundamentals of Licensing许可基础原则

What is a License?– Conditional waiver of the statutory right to exclude others– Conditional transfer of proprietary information

Business transaction with unique characteristics– NOT the transfer of a business

– Distinguish assignment or sale Types of Licenses

– Exclusive– Nonexclusive

什么是许可？– 有条件地放弃法定排他权– 有条件地转让专有信息

是一种具有独特特征的商业交易– 并非业务转让

– 区别于转让或出售许可类型

– 独占– 非独占

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Why Grant License? Why Not Grant License?

Make money– But self-exploitation better

Permits a potential competitor– All agreements expire– Nothing can prevent breach

Penetrate markets Lose control of secrets

Assist foreign subsidiaries

Spread tech. for convoyed sales

Satisfy demand or second source

Gain freedom of action– Cross-license

Settle dispute

To License or Not to License?授予还是不授予许可 ?

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为什么授予许可？为什么不授予许可？

赚钱– 但自己利用更好

允许潜在的竞争者– 所有协议期满– 无法阻止违约

渗透市场丧失秘密的控制权帮助国外子公司扩散附随销售的技术满足需求或第二源取得诉讼豁免权

– 交叉许可解决争端

To License or Not to License?授予还是不授予许可？

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Why Take License? Why Not Take License?

Make moneyObligation to pay affects profit

– Licensee usually makes more than licensor

Stay up to date Grant back of improvements– Mortgage of future technology

Get new product lineUnnatural limits on growth

– License restrictions may affect growth

Save time to market Contamination of own R&D

Gain freedom of action

Settle dispute


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为什么接受许可？为什么不接受许可？

赚钱支付义务影响利润

– 被许可人通常获利多于许可人

保持先进性回授改进技术– 抵押未来技术

取得新产品线对增长的极端限制– 许可限制通常影响增长

缩短上市时间影响自身研发获得诉讼豁免权解决争端


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Necessary Patents

– Required by supplier or customer– Required because of coverage

Desirable Patents– Cover important features– Open markets

必要的专利– 为供应商或客户所需– 因专利收录范围而需

理想的专利– 涵盖重要功能– 开拓市场

Strategy: Which Patents to License战略 : 许可什么专利

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Cost Approach Market Approach

– Comparable Royalties Income Approach Informal Methods Next Best Alternative to Licensee

成本累积法市场比价法

– 同等许可使用费所得估算法其它方法第二个最佳被许可人替代者

Strategy: Valuation战略：估价

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Comparable Royalties同等许可使用费

Royalty Rates for In-Licensing by Industry 按行业分类的引入许可使用费率

Industry 行业 0-2% 2-5% 5-10% 10-15% 15-20% 20-25% >25% Aerospace航空航天 50.0% 50.0% Automotive汽车 52.5% 45.0% 2.5% Chemical化学 16.5% 58.1% 24.3% 0.8% 0.4% Computer计算机 62.5% 31.3% 6.2% Electronics电子 50.0% 25.0% 25.0% Energy 能源 33.3% 66.7% Food/Consumer 食品/消费品 100% General Mfg. 一般制造 45.0% 28.6% 12.1% 14.3% Government/University 政府/大学 25.0% 25.0% 50.0% Health Care 医疗保健 3.3% 51.7% 45.0% Pharmaceuticals 制药 23.6% 32.1% 29.3% 12.5% 1.1% 0.7% 0.7% Telecommunications 通讯 40.0% 37.4% 23.6% Dan McGavock, IPC Group, Chicago, Illinois (based on survey) Dan McGavock, IPC Group，芝加哥市，伊利诺伊州 (基于调查)

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License agreement– Rights & obligations– Remedies

许可协议– 权利 & 义务– 补偿

Strategies for License Drafting许可起草战略

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Risks (Licensor’s & Licensee’s)– Management of direct risks requires

enforcement– Management of indirect risks requires

provisions: Representations Warranties Disclaimers Indemnities

风险 (许可人 & 被许可人的风险 )– 直接风险的管理要求可强制执行– 间接风险的管理对下列各项提出要求：

陈述保证免责声明赔偿

Strategies for License Drafting许可起草战略

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If valid patents are asserted against you:

EitherBarter rights for rights

or pay money

如果一方向您提出有效专利主张：则不是进行权利交换，就是支付金钱

Pay for a Patent Once and License It 1,000 Times; Pay Money Once and It’s Gone

花钱获取一项专利后，可以对该项专利进行 1000次许可；用同样一笔钱一次性支付专利赔偿后，钱就没了

Strategy: Barter战略：置换

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Leveraging the Value of Patent Portfolio in a Global Marketplace

在全球市场开发利用专利组合的价值

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Leveraging the Value of Patent Portfolio in Global Marketplace在全球市场开发利用专利组合的价值

Source: PatentsBase, http://www.patentsbase.com来源 : 专利库 , http://www.patentsbase.com

最大的专利组合公司排名

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News: Recent Acquisitions• June 2011

• A consortium (Apple, EMC, Ericsson, Microsoft, RIM, and Sony) buys ≈6000 patents and patent applications from bankrupt Nortel for over $4.5 billion

• Beats Google at auction• July 2011

• Google acquires over 1000 patents from IBM

新闻：近期收购• 2011年 6 月

• 由苹果、 EMC、爱立信、微软、 RIM和索尼组成的联盟从破产的北方电信有限公司那里购买大约 6000 项专利和专利申请，其金额超过 45 亿美元。

• 在拍卖中击败谷歌• 2011年 7 月

• 谷歌从 IBM 那里收购了 1000多项专利

Leveraging the Value of Patent Portfolio in Global Marketplace在全球市场开发利用专利组合的价值

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Leveraging Patent Information: Litigation利用专利信息：诉讼

Top 10 Jury Patent Damages Verdicts (2005-01-01 to 2011-04-11)位列前十的陪审团专利损害赔偿裁决 (2005年 1月 1日至 2011年 4月 11日 )

Year年

Plaintiff原告

Defendant被告

Amount (USD)金额（美元）

2009 Centocor Ortho Biotech, Inc. Abbott Labs. $1,672,594,0002007 Lucent Technologies, Inc. Microsoft Corp. 1,500,000,0002010 Mirror Worlds, LLC Apple Inc. 625,500,0002011 Saffran Johnson & Johnson 482,000,0002008 Saffran Boston Sci. Corp. 431,867,3512009 Uniloc USA, Inc. Microsoft Corp. 388,000,0002008 Alcatel-Lucent Microsoft Corp. 368,043,0562006 Hynix Semiconductor Inc. Rambus, Inc. 306,900,0002008 Medtronic, Inc. Boston Scientific Corp. 250,000,0002007 De Puy Spine, Inc. Medtronic Sofamor Danek, Inc. 226,300,000

Source: University of Houston Law Center, Institute for Intellectual Property & Information Law, Jury Patent Damages Verdicts (1-1-05 to 4-11-11)来源 : 休斯敦大学法律中心 , 知识产权 &信息法律研究院 , 陪审团专利损害赔偿裁决 (2005年 1月 1日至 2011年 4月 11日 ),

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• Injunctions• Verizon v. Vonage (Fed. Cir. 2007)

• Vonage shares dropped from $17 to $1• Led to settlements / licensing agreements

• Klausner v. Vonage (2007): undisclosed• Sprint v. Vonage (2007): $80M

• Settlements• NTP v. RIM: Settled in 2006 for $600+ million

• 禁止令• Verizon诉 Vonage 案 ( 联邦巡回法院 2007)

• Vonage 股价从 17美元跌到 1美元• 导致和解 /许可协议

• Klausner 诉 Vonage (2007)案 : 未披露• Sprint诉 Vonage (2007)案 : 八千万美元

• 和解• NTP 诉 RIM案 : 2006年以六亿多美元和解

Leveraging Patent Information: Litigation利用专利信息：诉讼

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Non-Practicing Entities (NPEs)– Organizations that acquire patents without the intention of

developing or selling products covered by those patents

非专利实施实体 (NPEs)– 收购专利，但无意开发或出售这些专利所涵盖产品的组织

New Trends in Leveraging Patent Portfolios利用专利组合的新趋势

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NPEs in United States, 1995–2009: 1995至 2009年的美国非专利实施实体 :


NPEs Practicing Entities

Success rate 31% 40%

Win rate at trial ≈2/3 ≈2/3

Median damages award, 1995–2001 $5.2 million $6.3 million

Median damages award, 2002–2009 $12.9 million $3.9 million

Source: PricewaterhouseCoopers, 2010 Patent Litigation Study来源：普华永道， 2010专利诉讼研究

非专利实施实体专利实施实体成功率 31% 40%

审理中的胜诉率 ≈2/3 ≈2/3

中等损害赔偿判付 , 1995–2001 520 万美元 $63 0 万美元中等损害赔偿判付 2002–2009 1290万美元 390 万美元

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NPEs in China?– Currently: little evidence of NPE litigation in China– “Toll booth” model requires “critical mass” of patent rights– China may be approaching its own critical mass

– Increased PCT applications– Incentive programs

» Gov’t, universities– CSRC requirement for IPOs

中国的非专利实施实体 ?– 当前 : 中国罕有非专利实施实体诉讼的证据– “通行费模式”要求有专利权利的“临界量” – 中国可能正在接近其临界量

– 增加专利合作条件申请– 激励项目

» 政府、大学– 中国证监会对首次公开募股的要求


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Esther LimManaging PartnerShanghai Representative OfficeFinnegan, Henderson, Farabow, Garrett & Dunner, LLPMirae Asset Tower, 28/F, Unit A-B166 Lujiazui Ring RoadPudong, Shanghai 200120 PRC

林艺思管理合伙人美国飞翰律师事务所上海代表处上海市浦东新区陆家嘴环路 166号未来资产大厦 28 楼邮编 200120

Tel: [email protected]

Thank You!谢谢！

patent information annual conference of china

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