欧盟知识产权制度.ppt

1、Partner, Laga (Belgium) （比利时）雷加 （Laga）律师事务所合伙人 Intellectual Property, Technology, Media and Telecommunications Law 知识产权、技术、媒体及电信法 Shanghai, 10 November 2008 2008年11月10日，上海 Guangzhou, 13 November 2008 2008年11月13日，广州 Dongguan, 14 November 2008 2008年11月14日，东莞 Changzhou, 18 November 2008 2008年11月18日，常州,

2、Bart Lieben 莱本,Acquisition and Management of Intellectual Property Rights in the EU 欧盟知识产权的取得和管理,Agenda 议程,Introduction 简介 Acquisition of Intellectual Property Rights知识产权的取得 Protection of Intellectual Property Rights知识产权的保护 (Technology) Transfer（技术）转让 Management of Intellectual Property Rights知识产权的管

3、理 Conclusion结论,Introduction: the Strategic and Economic Importance of Intellectual Property Rights 简介：知识产权的战略意义和经济意义,OEM 原始设备生产商 (Original Equipment Manufacturer),Push排斥,BRAND / IP CAPITAL品牌/知识产权投资,Production focus产品导向型,HUMAN CAPITAL人力资本,High 高 (WIP, finished goods在产品、制成品),WORKING CAPITAL营运资本,High 高

4、 (ownership of production产品所有权),PHYSICAL CAPITAL实物资本,Pull 引入,IP Owner知识产权所有人,Customer focus客户导向型,Low低 (direct delivery直接交货),Low低 (outsourcing外包生产),Evolution演变过程,From “Do It Yourself” and “Keep It To Yourself” to Collaboration 从“自力更生”和“保守秘密”到协同合作 Statistics show that Europe is in the lead when it com

5、es down to collaboration with respect to Research, Development and Exploitation of R offering the goods, putting them on the market or stocking them for these purposes under that sign, or offering or supplying services thereunder要约销售该标识标记的商品或者为此目的将此商品投放市场或者存贮，或者提供相应的服务; importing or exporting goods

6、under that sign进、出口该标识标记的商品; using the sign on business papers and in advertising在商务文件或者广告中使用该标识.,CTM - License-Specific Issues共同体商标-许可-特殊问题,Content of the license:许可的内容 the proprietor of a Community trade mark may invoke the rights conferred by that trade mark against a licensee who contravenes any

7、 provision in his licensing contract with regard to 共同体商标所有人可以援引该商标所授予的权利，对抗被许可人违反下述任何合同条款的行为 its duration存续期限, the form covered by the registration in which the trade mark may be used商标使用所需注册的形式要求, the scope of the goods or services for which the licence is granted授权许可的商品或者服务的范围, the territory in w

8、hich the trade mark may be affixed, or 可以使用商标的地域范围，或者 the quality of the goods manufactured or of the services provided by the licensee被许可人所生产产品或者所提供服务的质量,CTM - License-Specific Issues共同体商标-许可-特殊问题,Rights of a Licensee of a Community Trade Mark in case of infringement:侵权时共同体商标被许可人的权利 without prejudi

9、ce to the provisions of the licensing contract, the licensee may bring proceedings for infringement of a Community trade mark only if its proprietor consents thereto在不损害合同约定的情况下，对于侵害共同体商标的行为，只要所有人同意，被除数许可人可以提起诉讼 the holder of an exclusive licence may bring such proceedings if the proprietor of the t

10、rade mark, after formal notice, does not himself bring infringement proceedings within an appropriate period如果商标所有人在被许可人正式通知以后，自己没有在合理期限内起诉，排他许可的持有人可以提起诉讼,CTM - License-Specific Issues共同体商标-许可-特殊问题,A Licensee shall, for the purposes of obtaining compensation for damage suffered by him, be entitled t

11、o intervene in infringement proceedings brought by the proprietor of the Community trade mark 为使自己遭受的损失得到赔偿，被许可人有权参与到共同体商标所有人所提起的诉讼之中 On request of one of the parties, the grant or transfer of a licence in respect of a Community trade mark shall be entered in the Register and published应一方当事人之请求，与共同体

12、商标相关的许可授权及转让，应当登记注册并公告,CTM - License-Specific Issues共同体商标-许可-特殊问题,Legal acts . concerning a Community trade mark shall only have effects vis-vis third parties in all the Member States after entry in the Register. Nevertheless, such an act, before it is so entered, shall have effect vis-vis third par

13、ties who have acquired rights in the trade mark after the date of that act but who knew of the act at the date on which the rights were acquired 与共同体商标相关的法律行为，只有在登记之后才能在所有成员国具有对抗第三人的效力。但是，在登记之前，对于那些在该行为发生之后才对该商标取得权利，但是在取得权利之日知道该行为的第三人，该行为有效。,CTM - License-Specific Issues共同体商标-许可-特殊问题,A Community tra

14、de mark may be transferred, separately from any transfer of the undertaking, in respect of some or all of the goods or services for which it is registered共同体商标可以与企业转让相分离，就其注册的部分或者全部商品或者服务进行转让 A transfer of the whole of the undertaking shall include the transfer of the Community trade mark except whe

15、re, in accordance with the law governing the transfer, there is agreement to the contrary or circumstances clearly dictating otherwise.企业整体的转让应当包括共同体商标，除非在符合有关转让的法律规定的条件下，有相反的协议或者实际情况有相反的明确证明 this provision shall apply to the contractual obligation to transfer the undertaking 本条适用于企业转让的合同责任,CTM - Li

16、cense-Specific Issues共同体商标-许可-特殊问题,In principle, an assignment of the Community trade mark shall be made in writing and shall require the signature of the parties to the contract, except when it is a result of a judgment; otherwise it shall be void;除非属于判决结果，共同体商标的转让应当以书面作出，并且应当要求合同当事人签字；否则转让无效。,CTM

17、- License-Specific Issues共同体商标-许可-特殊问题,On request of one of the parties a transfer shall be entered in the Register and published. 应一方当事人之请求，转让应当登记并公告。 As long as the transfer has not been entered in the Register, the successor in title may not invoke the rights arising from the registration of the

18、Community trade mark. 转让未经登记的，权利继受人不得援引共同体商标注册所赋予的权利。,Exclusive Rights of a Copyright Owner版权所有人的排他权,Reproduction in the broad sense广义上的复制 reproduction in the narrow sense狭义上的复制 translation, amendment, alteration翻译、修改、改变 rental and lending租赁和出借 Distribution发行 Communication to the public 向公众传播,Exclus

19、ive Rights of the Owner of a Design外观设计所有人的排他权,The right to use such a design, including:使用该设计的权利，包括： the making, 制造 offering, 要约销售 putting on the market, 投放市场 importing, 进口 exporting or 出口或者 using of a product in which the design is incorporated or to which it is applied, or 使用包含或者应用了该外观设计的产品，或者 st

20、ocking such a product for those purposes.为上述目的而存贮,Community Design License-Specific Issues共同体外观设计-许可-特殊问题,A Community design may be licensed for the whole or part of the Community. 共同体外观设计可以在共同体的全体或者部分范围内许可 A licence may be exclusive or nonexclusive.可以排他许可或者非排他许可,Community Design License-Specific Is

21、sues共同体外观设计-许可-特殊问题,Without prejudice to any legal proceedings based on the law of contract, the holder may invoke the rights conferred by the Community design against a licensee who contravenes any provision in his licensing contract with regard to 在不损害基于合同法的法律程序的情况下，权利持有人可以援引共同体外观设计所授予的权利，对抗被许可人违反

22、下述任何许可合同条款的行为： its duration, 存续期 the form in which the design may be used,使用外观设计的方式 the range of products for which the licence is granted and 许可授权的产品范围 the quality of products manufactured by the licensee.被许可人制造的产品的质量,Community Design License-Specific Issues共同体外观设计-许可-特殊问题,Without prejudice to the

23、provisions of the licensing contract, the licensee may bring proceedings for infringement of a Community design only if the right holder consents thereto.在不损害许可合同的情况下，被许可人可以经过权利持有人的同意，对侵犯共同体外观设计的行为提起诉讼 However, the holder of an exclusive licence may bring such proceedings if the right holder in the

24、Community design, having been given notice to do so, does not himself bring infringement proceedings within an appropriate period.但是，如果共同体外观设计的权利持有人经过通知，没有在合理的期限内自己提起诉讼，被许可人可以提起诉讼。,Competition Law / Antitrust Issues竞争法/反垄断法,Agreements between two undertakings can impair competition两个企业之间的协议可能损害竞争 Re

25、gulation with respect to Research and it allows consumers a fair share of the resulting benefits 并且其允许消费者分享所产生的利益 and if it does not 而且其没有 impose on the undertakings concerned restrictions which are not indispensable to the attainment of these objectives; or给企业强加一种限制，这种限制不是为达到上述目标而必须的，或者 afford such

26、 undertakings the possibility of eliminating competition in respect of a substantial part of the products in question在相关产品的实质性部分为企业提供了排除竞争的可能,Competition Law Technology Transfer Block Exemption竞争法-技术转让的批豁免,Regulation 772/2004 + Guidelines 772/2004号条例+指南 Exemption in principle from Article 81(1) of t

27、he EC Treaty原则上对欧共体条约第81(1) 条的豁免 Market-share thresholds市场份额标准 Hardcore restrictions无条件的限制 Excluded restrictions不能豁免的限制 Withdrawal in individual cases个案取消 Non-application of the Block Exemption Regulation不适用批豁免 Technology Pools技术联营,Competition Law Specialisation Agreements Block Exemption竞争法-专业化（分工）

28、协议批豁免,The Regulation exempts 条例豁免 agreements the primary object of which is specialisation, as well as 基本意图在于专业化（分工）的协议，以及 all agreements directly related to and necessary for the implementation of cooperation in the area of specialisation 专业化（分工）领域实施合作直接相关或者必须的所有协议 provided that the combined market

29、 share of the parties does not exceed 20% of the relevant market 只要各方市场份额合并后不超过（下列）相关市场的20% for: unilateral specialisation, reciprocal specialisation, and joint production 单边专业化，双边（互惠）专业化和联合生产,Competition Law Research & Development竞争法-研究和开发,The Regulation exempts 条例豁免 agreements the primary object w

30、hereof is R&D, and基本目标在于研究开发的协议，和 all agreements directly related to and necessary for the implementation of cooperation in R&D,与研发相接相关或者必须的所有协议， provided that the combined market share of the parties does not exceed 25% of the relevant market 只要合并各方市场份额后不超过（下述）相关市场的20% Certain conditions must be me

31、t 必须满足某些条件,Intercompany Transfer and IP Policies公司间转让和知识产权政策,OECD Guidelines on the aspects to be taken into account in agreements within an international undertaking经济合作和发展组织（OECD）关于跨国企业内部协议应注意问题的指南 linking pricing to联合定价 functionalities, substance and risks（对于）功能性，材料和风险 in the context of R&D, and

32、the exploitation of intellectual property rights 在研发和实施知识产权背景下 Arms length principle公平交易原则（“臂长”原则） avoid double taxation避免双重课税 avoid artificial shifting of profits 避免利益的人为转移,Intercompany Transfer and IP Policies公司间转让和知识产权政策,OECD principles give guidance on how to plan经济合作和发展组织（OECD）对（下述内容）规划方式的指导原则

33、R&D, and研究开发，和 the exploitation of IP rights知识产权的实施 When to consider IP planning?何时考虑知识产权规划？ Research & Development (in the large sense)研究开发（广义上） Protection / Prosecution 保护/申请（专利） Exploitation 实施利用 Litigation 诉讼 Extinction of Protection 保护的消灭,Intercompany Transfer and IP Policies公司间转让和知识产权政策,Import

34、ant to develop a group policy on which company will be the legal owner of R&D results (in the large sense) 对于哪家公司可以合法享有（广义上的）研发成果的问题，确定一个群组（集团）策略很重要 New products / processes 新产品/新方法 protected as know-how, by patents, 保护方式是商业秘密、知识产权、 New trademarks 新商标 development / acquisition can be an extremely co

35、stly / risky exercise 开发/取得花费极高，风险极大 Important to develop a group policy on how these R&D results will be financed 对于如何为研发成果筹集资金的问题，确定一个群组（集团）策略很重要 Contract-R&D 承包研发 Cost Contribution Arrangements 成本贡献安排 ,Intercompany Transfer and IP Policies公司间转让和知识产权政策,In case a licensee is entitled to perform res

36、earch on or to develop improvements of licensed intellectual property rights, it is important to consider ownership issues 假如被许可人有权对被许可的知识产权进行研发改进，考察所有权问题很重要 Option: grant-back / feedback clauses 选择：返授/回馈条款 Licensor will automatically become owner of improvements to licensed technology 许可人自动成为被许可技术改

37、进内容的所有人 Important: prohibited when used in a third party context, since these types of arrangements are contrary to competition / antitrust law 特别注意：当涉及第三方时，这类安排因为违反竞争法/反垄断法而被禁止 Transfer is mostly subject to payment of an (arms length) fee 转让大多需要支付一笔（公平的）许可费 Contract-R&D承包研发,Intercompany Transfer an

38、d IP Policies公司间转让和知识产权政策,Protect R&D results (in the large sense)保护研发成果（广义上） by contract 通过合同方式 by applying for protection with competent authorities 通过向主管机构申请专利的方式 Make an informed decision on which protection mechanism(s) to be used for protecting these results在信息充分的条件下作出决策：使用哪种保护机制来保护这些成果？ Globa

39、l statistics show that the number of patents and trademarks increases 全球统计显示专利和商标的数量在增长 More countries are granting tax incentives for income derived from IP, in particular patents 更多的国家对于知识产权尤其是专利取得的收入给予税收激励 Evolutions put pressure on existing IP protection strategies 这些发展给当前的知识产权保护战略带来压力,Intercomp

40、any Transfer and IP Policies公司间转让和知识产权政策,Group IP Policy should determine 群组（集团）知识产权策略: who will be the legal owner of such IP rights 谁可以合法拥有这些知识产权 how protection decisions are taken, and 怎样选择保护对策，以及 how these decisions lead to IP ownership within the Group 这些对策是怎样在集团内部对知识产权的所有权进行分配,Intercompany Tra

41、nsfer and IP Policies公司间转让和知识产权政策,Exploitation 实施利用 Critical aspect in a IP planning知识产权规划的关键点 Both direct and indirect exploitation are to be considered 直接实施和间接实施都应考虑 Direct: IP licensing and transfer 直接实施：知识产权许可与转让 Indirect: granting rights of use, distribution of products, 间接实施：授予产品的使用权、 配送权,Inte

42、rcompany Transfer and IP Policies公司间转让和知识产权政策,Exploitation 实施利用 Exploitation structure should be in line with a Companys IP and Transfer Pricing Policies 实施结构应当符合公司的知识产权策略及转让定价策略 Determine (legal and economic) ownership / licensing structure确定（法律上和经济上的）所有权/许可结构 Determine rights, obligations, and ris

43、ks of parties 确定各方当事人的权利、义务和风险分配 Determine (arms length) remuneration (royalty) 确定（公平的）报酬（许可费） ,Intercompany Transfer and IP Policies公司间转让和知识产权政策,More and more, Groups are considering IP Planning越来越多的集团都在考虑知识产权规划 Multidisciplinary exercise 多学科训练 Tax税收 Legal and administrative issues法律和行政问题 Risk mana

44、gement风险管理 Marketing推销 Product development产品开及 Distribution配送,Intercompany Transfer and IP Policies公司间转让和知识产权政策,Legal issues to be considered:需要考虑的法律问题： Written agreement (often mandatory)书面协议（通常是强制性的） Trademarks商标: is a transfer of trade marks without goodwill allowed? 未与商誉一并转让是否允许 legal requiremen

45、t to transfer the business in case trademarks are transferred? 在商标转让的情况下转让商务的法律要件 Recordal of licenses and transfers (often neglected) 许可和转让的备案（经常被忽视） Competition / antitrust law: price fixing, bundling, grant-back and feedback clauses, in controlled / uncontrolled environment 竞争法/反垄断法：价格固定，捆绑（打包），返

46、授/回馈条款， 在受控/不受控的环境下 Impact on determination of: 对确定下述问题的影响 legal and economic ownership法律和经济上的所有权 arms length remuneration for license 公平的许可报酬 ,Intercompany Transfer and IP Policies公司间转让和知识产权政策,No business is static: importance to consider flexibility in intercompany agreements没有静止的商务：考察公司间协议灵活性的意义

47、M&A activity兼并收购活动 Complex transactions with third parties:与第三方的复杂交易 Cross-licensing in context of IP litigation 在知识产权诉讼中的交叉许可 IP pooling知识产权联营 Aspects of uncontrolled transactions at later stages in the value chain在价值链后期阶段不可控交易的有关内容 Possibility to grant sublicenses, for instance to commercial agent

48、s and distributors 授予分许可的可能性，比如商业代理和配送 Competition / antitrust law竞争法/反垄断法 New inventions / improvements, development and launch of new brands, 新发明/改进，新商标的开发和推广,Intercompany Transfer and IP Policies公司间转让和知识产权政策,Possible practical issues:可能存在的实际问题 IP is infringed by third party知识产权被第三方侵权 Alleged infr

49、ingement of third party IP rights指控侵犯第三方知识产权 Parallel imports (e.g. in case of distribution agreements)平行进口（例如，配送协议） Counterfeiting仿冒 Application for Action / Pre-Filings诉讼请求/预申请 Reactive (see above)反应（见前述） Often swift action is needed in order to terminate infringement and prevent further loss of r

50、evenues, goodwill, 通常需要快速行动以制止侵权，防止收入、商誉等进一步受损 Above issues need to be covered in intercompany agreements 上述问题在公司间协议中也需要考虑,Intercompany Transfer and IP Policies公司间转让和知识产权政策,Groups must consider that: 集团必须考虑 patent, utility model, protection expires专利、实用新型、 保护终止 business decisions (e.g. M&A) or IP infringement claims may discontinue the use of certain technologies, brands, 商事决策（比如兼并收购）和知识产权侵权诉求可能中断某种技术、品牌的利用 flexibility in winding up IP structure is absolutely necessary 在清理知识产权结构时绝对需要灵活性 to be considered at the earliest stage of IP planning在知识产权规划早期阶段需要考虑的问题,Intercompany