論frand的法律性質(zhì)及其相關(guān)問(wèn)題

1、標(biāo)準(zhǔn)專利許可與 FRAND原則應(yīng)用實(shí)踐,復(fù)旦大學(xué) 特聘教授 張乃根 主任,2014/4/2,1,標(biāo)準(zhǔn)專利許可研討會(huì),標(biāo)準(zhǔn)專利許可的由來(lái),歐洲電信標(biāo)準(zhǔn)協(xié)會(huì)（ETSI）于1994年11月23日通過(guò)《知識(shí)產(chǎn)權(quán)政策》（IPR Policy，最新2013年3月20日修訂）規(guī)定：制定標(biāo)準(zhǔn)時(shí)涉及必要IPR(專利為主）, ETSI總干事應(yīng)立即請(qǐng)求權(quán)利人在3個(gè)月內(nèi)書面作出“不可撤銷的承諾”(an

2、 irrevocable undertaking）準(zhǔn)備以公平合理及非歧視（FRAND）條件許可他人在實(shí)施標(biāo)準(zhǔn)時(shí)使用其專利。該承諾也可以“相互”（reciprocate）同意許可為條件。,2014/4/2,標(biāo)準(zhǔn)專利許可研討會(huì),2,從ETSI《知識(shí)產(chǎn)權(quán)政策》看 FRAND的法律性質(zhì),ETSI Rule of Procedure, 20 March 2013 Annex 6: ETSI Intellectua

3、l Property Rights PolicyThe ETSI IPR Policy seeks a balance between the needs of standardization for public use in the field of telecommunications and the rights of the owners of IPRs.IPR holders whether members of ET

4、SI and their Affiliates or third parties, should be adequately and fairly rewarded for the use of their IPRs in the implementation of Standards and technical Specifications.,2014/4/2,3,標(biāo)準(zhǔn)專利許可研討會(huì),ETSI 程序規(guī)則（2013年3月20日）附件6

5、： ETSI 《知識(shí)產(chǎn)權(quán)政策》ETSI《知識(shí)產(chǎn)權(quán)政策》尋求在電信領(lǐng)域公眾使用標(biāo)準(zhǔn)的需求與IPR所有人權(quán)利的平衡。IPR持有人無(wú)論是否ETSI及其分支成員或第三方，均應(yīng)在實(shí)施標(biāo)準(zhǔn)與技術(shù)要求方面因利用其IPR而獲得充分與公平的回報(bào)。,2014/4/2,4,標(biāo)準(zhǔn)專利許可研討會(huì),6 Availability of Licenses6.1. When an Essential IPR relating to a particular Sta

6、ndard or Technical Specification is brought to the attention of ETSI, the Director-General of ETSI shall immediately request the owner to give within three months an irrevocable undertaking in writing that it is prepared

7、 to grant irrevocable licenses on fair, reasonable and non-discriminatory (“FRAND”) term and condition under such IPR to at least the following extent:Manufacture, including the right to make or have made customized co

8、mponents and sub-systems to the licensee’s own design for use in Manufacture; Sell, lease, or otherwise dispose of Equipment so Manufactured;Repair, use, or operated Equipment; andUse MethodsThe above undertaking may

9、 be made subject to the condition that those who seek licenses agree to reciprocate.,2014/4/2,5,標(biāo)準(zhǔn)專利許可研討會(huì),6. 許可的可獲得性6.1 當(dāng)一項(xiàng)必要知識(shí)產(chǎn)權(quán)與特定標(biāo)準(zhǔn)或技術(shù)要求引起ETSI關(guān)注，ETSI總干事應(yīng)立即要求該所有人在3個(gè)月內(nèi)作出不可撤回的書面承諾，準(zhǔn)備以公平、合理與非歧視性（FRAND）條款和條件給予不可撤回的許可，并至

10、少在如下范圍：制造，包括制造或已制作既定零件和子系統(tǒng)的權(quán)利給予被許可方將其設(shè)計(jì)用于制造；銷售，出租或處置設(shè)備以便制造；利用方法。上述承諾可受制于尋求許可者同意的互惠性。,2014/4/2,6,標(biāo)準(zhǔn)專利許可研討會(huì),ETIS IPR Licensing Declaration Form,General IPR Licensing DeclarationIn accordance with Clause 6.1 of ETSI IP

11、R Policy the Declaration and/or its Affiliates hereby informed ETSI that: The Declarant hereby irrevocably declares that (1) it and its Affiliates are prepared to grant irrevocable licenses under its/their IPR on terms

12、and conditions which are in accordance with Clause 6.1 of ETSI IPR Policy, ……,2014/4/2,標(biāo)準(zhǔn)專利許可研討會(huì),7,ETIS 許可聲明表,一般IPR許可聲明根據(jù)ETSI《知識(shí)產(chǎn)權(quán)政策》第6.1條，聲明者及/或分支通知ETSI;聲明者在此不可撤回聲明(1)本人及分支準(zhǔn)備不可撤回，以ETIS《知識(shí)產(chǎn)權(quán)政策》 第6.1條的條款、條件給予其知識(shí)產(chǎn)權(quán)的許可，……

13、,2014/4/2,標(biāo)準(zhǔn)專利許可研討會(huì),8,三大國(guó)際標(biāo)準(zhǔn)化組織的 標(biāo)準(zhǔn)專利許可政策,ISO/IEC/ITU common patent policy國(guó)際標(biāo)準(zhǔn)化組織/國(guó)際電工委員會(huì)/國(guó)際電信聯(lián)盟《共同專利政策》(2007年4月18日更新)Guidelines for Implementation of the common patent policy for ISO/IEC/ITU 國(guó)際標(biāo)準(zhǔn)化組織/國(guó)際電工委員會(huì)

14、/國(guó)際電信聯(lián)盟《共同專利政策的實(shí)施指南》( （2007年3月1日制定，2012年4月23日修訂）,2014/4/2,9,標(biāo)準(zhǔn)專利許可研討會(huì),《共同專利政策》,Recommendations | Deliverables are non-binding; their objective is to ensure compatibility of technologies and systems on a worldwide basis.

15、To meet this objective, which is in the common interests of all those participating, it must be ensured that Recommendations | Deliverables, their applications, use, etc. are accessible to everybody.It follows, therefor

16、e, that a patent embodied fully or partly in a Recommendation | Deliverable must be accessible to everybody without undue constraints. To meet this requirement in general is the sole objective of the code of practice. Th

17、e detailed arrangements arising from patents (licensing, royalties, etc.) are left to the parties concerned, as these arrangements might differ from case to case.,2014/4/2,10,標(biāo)準(zhǔn)專利許可研討會(huì),建議標(biāo)準(zhǔn)是無(wú)拘束力的；其宗旨在于確保世界范圍的技術(shù)和體系可兼容性。為達(dá)

18、到這一符合所有參與方共同利益的目標(biāo)，必須保證建議標(biāo)準(zhǔn)及其適用、使用等對(duì)任何人開放。因此，全部或部分被納入建議標(biāo)準(zhǔn)的專利必須為任何人所獲得而沒有不適當(dāng)?shù)南拗?。一般地滿足這一要求是行為準(zhǔn)則的唯一目標(biāo)。因?qū)＠a(chǎn)生的具體安排（許可、費(fèi)用等）留由有關(guān)當(dāng)事方解決，因?yàn)檫@些安排可能個(gè)案而不同。,2014/4/2,11,標(biāo)準(zhǔn)專利許可研討會(huì),《共同專利政策的實(shí)施指南》,The Organizations should not be involved

19、in evaluating patent relevance or essentiality with regards to Recommendations/Deliverables, interfere with licensing negotiations, or engage in setting disputes on Patents; this should be left-as in the past-to the part

20、ies concerned.The Declaration Form gives Patent Holders the means of making a licensing declaration relative to rights in Patents required for implementation of a specific Recommendation/Deliverable.,2014/4/2,12,標(biāo)準(zhǔn)專利許可研

21、討會(huì),各組織均不涉及對(duì)建議標(biāo)準(zhǔn)有關(guān)專利的相關(guān)性或必要性作出評(píng)價(jià)，也不干預(yù)許可談判或參與專利爭(zhēng)端解決；如同以往，這應(yīng)由相關(guān)當(dāng)事方解決。聲明表給予專利持有人一手段以作出與實(shí)施一項(xiàng)特定建議標(biāo)準(zhǔn)所需專利中有關(guān)權(quán)利的許可聲明。,2014/4/2,13,標(biāo)準(zhǔn)專利許可研討會(huì),Patent Statement and Licensing Declaration,This declaration dose not represent an actual

22、 grant of license The Patent Holder is prepared to grant a license to an unrestricted number of applicants on a worldwide, non-discriminatory basis and on reasonable terms and conditions to make, use and sell implementa

23、tions of the above document.Negotiations are left to the parties concerned and are performed outside the ITU-T,ITU-R,ISO or IEC.Also mark here if the Patent Holder’s willingness to license is conditioned on Reciprocit

24、y for the above documents.,2014/4/2,標(biāo)準(zhǔn)專利許可研討會(huì),14,專利陳述與許可聲明,本聲明不代表一項(xiàng)實(shí)際的許可授予。本專利持有人準(zhǔn)備以世界范圍、非歧視基礎(chǔ)及合理?xiàng)l款、條件給予無(wú)限制數(shù)量的申請(qǐng)人制造、利用和銷售上述文件的實(shí)施物。談判留由有關(guān)當(dāng)事方，并在ITU-T,ITU-R,ISO or IEC之外進(jìn)行。另外注意：如專利持有人愿意許可以上述文件的互惠為條件。,2014/4/2,標(biāo)準(zhǔn)專利許可研討會(huì),1

25、5,從美國(guó)司法實(shí)踐 看FRAND法律性質(zhì),Apple. Inc. v. Motorola, Inc. (N.D, Ill) Order denying motion for summary judgment (6/22/12) [Posner, J]“To begin with [defendant’s] injunctive claim, I don’t see how, given FRAND, I woul

26、d be justified in enjoining [plaintiff] from infringing the [patent subject to FRAND obligations] unless [plaintiff] refuses to pay a royalty that meets the FRAND requirement. By committing to license its patents on FRA

27、ND terms, [defendant ] committed to license the [patent subject to the FRAND obligation] to anyone willing to pay 1 FRAND royalty and thus implicitly acknowledged that a royalty is adequate compensation for a license t

28、o use that patent. How could it do otherwise?...(p.18) ”,2014/4/2,標(biāo)準(zhǔn)專利許可研討會(huì),16,蘋果訴摩托羅拉案 2012年6月22日裁決 伊利諾艾斯州北區(qū)聯(lián)邦法院，駁回即時(shí)判決訴求,波斯納法官：先考慮【被告】禁令訴求，我看不出在FRAND下，我如何論證禁止【原告】侵犯【在FRAND義務(wù)下的專利】，除非【原告】拒絕支付滿足FRAND要求的許可費(fèi)。根據(jù)其承諾以FRAN

29、D條件許可其專利，【被告】承諾許可其【FRAND義務(wù)下專利】給任何愿意支付FRAND許可費(fèi)者，因而默認(rèn)許可費(fèi)是足夠補(bǔ)償其許可使用該專利的。如何另行其事呢？…… 第18頁(yè),2014/4/2,標(biāo)準(zhǔn)專利許可研討會(huì),17,Apple. Inc. v. Motorola Mobility, Inc. (W.D, Wisc) Civil Action , Order (10/29/12) [Crabb, J],There is no languag

30、e in either the ETSI and IEEE contracts suggesting that Motorola and the standards-setting organizations intended or agreed to prohibit Motorola from seeking injunctive relief. In fact, both policies are silent on the qu

31、estion of injunctive relief. Moreover, in light of the fact that patent owners generally have the right to seek injunctive relief both in district courts,...and in the International Trade Commission,… that any contract p

32、urportedly depriving a patent owner of that right should clearly do so. The contracts at issue are not clear. P.15Court refused to declare that Motorola breached its contract or to “declare” a FRAND rate for Motorola’s

33、 patent. P. 2,2014/4/2,標(biāo)準(zhǔn)專利許可研討會(huì),18,蘋果訴摩托羅拉案 2012年10月29日判決 威斯康辛州西區(qū)聯(lián)邦法院，判決,克拉布法官：在歐洲電信標(biāo)準(zhǔn)學(xué)會(huì)和電氣電子工程師學(xué)會(huì)的合同中均無(wú)任何表述提示摩托羅拉與標(biāo)準(zhǔn)化組織旨在，或同意禁止摩托羅拉尋求禁令。事實(shí)上，兩組織政策均未涉及禁令問(wèn)題?；趯＠腥艘话銚碛性诘貐^(qū)法院和國(guó)際貿(mào)易委員會(huì)請(qǐng)求發(fā)布禁令的權(quán)利，因而，任何合同明確剝奪專利所有人都

34、這一權(quán)利，顯然應(yīng)這樣。本案該合同不清楚。第15頁(yè)法院拒絕判決摩托羅拉違反其合同或“宣布”對(duì)于摩托羅拉專利的FRAND許可費(fèi)率。第2頁(yè),2014/4/2,標(biāo)準(zhǔn)專利許可研討會(huì),19,Microsoft Corp. v. Motorola Inc. (W.D, Wash) Order Granting Microsoft Motion Dismissing Motorola Complaint for Injunctive Relief

35、(11/29/12) [Robert, J],Statements by Motorola to ITU/IEEE re SEPs constituted binding agreements to license SEPs on FRAND terms; Microsoft third party beneficiary to those agreements, had right to FRAND license on SEPs;

36、letter offers by Motorola re terms; applying for a patent license and negotiating towards a patent license were not conditions precedent to Motorola’s obligations to grant license on FRAND terms.,2014/4/2,標(biāo)準(zhǔn)專利許可研討會(huì),20,微軟

37、訴摩托羅拉案 2012年11月29日 華盛頓州西區(qū)聯(lián)邦法院判決支持微軟， 駁回摩托羅拉請(qǐng)求禁令的訴求,羅伯特法官：摩托羅拉向ITU/IEEE所做關(guān)于標(biāo)準(zhǔn)必要專利的聲明構(gòu)成以FRAND條件許可標(biāo)準(zhǔn)必要專利的有拘束力協(xié)議；微軟的第三方收益于這些協(xié)議，有權(quán)要求標(biāo)準(zhǔn)必要專利的FRAND許可；摩托羅拉根據(jù)該條件所做的書面要約；適用于專利許可和談判達(dá)成專利許可并非先于摩托羅拉有義務(wù)以F

38、RAND條款給予許可的條件。,2014/4/2,標(biāo)準(zhǔn)專利許可研討會(huì),21,InterDigital Communications Inc. v. Huawei Te. Co D. Del. 2013, Motion for Expedited Discovery 3/14/13 Andrews J.,The court denied defendants’ motions for expedited discovery and tria

39、l on their counterclaims to set a FRAND rate for three patents-in-suit:The gist of request is that each Defendant will be harmed if its products are excluded from the U.S. by the ITC, that the ITC cannot set a FRAND rat

40、e, and that the Plaintiff will not offer it a FRANF rate although it has an obligation to do so…. It dose not seem to me like a very practicable idea to try to race to a partial judgment here so that each defendant will

41、 be in a better position in the ITC litigation. Therefore, I will deny the motion for expedited and trial in the two cases. P.1,2014/4/2,標(biāo)準(zhǔn)專利許可研討會(huì),22,交互數(shù)字通信訴華為案 2013年3月14日裁決 德拉華州地區(qū)法院，拒絕華為請(qǐng)求加快庭審調(diào)查和確定3項(xiàng)涉案專利的FRAND許可費(fèi)率的反

42、訴,安德羅斯法官：請(qǐng)求的法理依據(jù)是每個(gè)被告如其產(chǎn)品被ITC排除出美國(guó)將受損，且ITC不能確定FRAND許可費(fèi)率，盡管原告有義務(wù)作出FRAND要約，卻沒有這樣做?！谖铱磥?lái)，這不是很切合實(shí)際的想法，即試圖在此作出部分判決以便每一個(gè)被告在ITC的訴訟中將有更好的地位。因此，我拒絕快速庭審調(diào)查和在這兩起案件的訴訟。第 1頁(yè)。,2014/4/2,標(biāo)準(zhǔn)專利許可研討會(huì),23,Related Cases regarding

43、 Interchange v. Huawei in U.S.,InterDigital Communications Inc. v. Huawei Te. Co ,etc. ITC . July 24, 2013, granting joint motion to amend protective order for the purpose to add specific provisions permitting the use

44、 of discovery from this investigation in four co-pending actions in D. Del. Regarding Huawei, ZTE, Nokia and Samsung. InterDigital Communications Inc. v. Huawei Te. Co ,etc. D. Del. November 13, 2013 The Court

45、has set a Markman hearing for 9:30 a.m. on December 5, 2013.,2014/4/2,標(biāo)準(zhǔn)專利許可研討會(huì),24,交互通訊訴華為等案在美國(guó)的 相關(guān)案件,交互通訊訴華為等案（ITC） 2013年7月24日，同意華為、中興、諾基亞和三星（被告）與交互通訊（原告）的共同請(qǐng)求，允許在ITC的337調(diào)查案采用的庭審調(diào)查信息用于在德拉維州地區(qū)法院訴訟。交互通訊

46、訴華為等案（德拉維州地區(qū)法院） 2013年11月13日，宣布2103年12月5日馬克曼（審前）聽證會(huì)。,2014/4/2,標(biāo)準(zhǔn)專利許可研討會(huì),25,FRAND標(biāo)準(zhǔn)專利許可費(fèi),Microsoft v. Motorola April 25, 2013微軟訴摩托羅拉 2013年4月25日 西雅圖聯(lián)邦地區(qū)法院法院根據(jù)假設(shè)的談判中合理當(dāng)事方確定The upper bound (上限) The low bound （下限）

47、修改的喬治亞-太平洋計(jì)算法（modified Georgia-Pacific methodology）,2014/4/2,標(biāo)準(zhǔn)專利許可研討會(huì),26,修改的喬治亞-太平洋計(jì)算因素,FACTOR 1 比較已確定的許可費(fèi) established royaltyFACTOR 4 拒絕許可情況下的市場(chǎng)壟斷FACTOR 5 許可方與被許可方的商業(yè)關(guān)系FACTOR 6\8 被許可專利對(duì)于雙方的重要性， 不包括因標(biāo)準(zhǔn)增加的價(jià)值FACTO

48、R 7 專利有效期和許可期FACTOR 9 專利對(duì)于改變舊模式或裝置的效用和好處FACTOR 10 與專利發(fā)明的特點(diǎn)有關(guān)的獲益FACTOR12 允許利用發(fā)明或相似發(fā)明的盈利或銷售價(jià)格FACTOR 13 與非專利要素相比，含有專利要素的可實(shí)現(xiàn)盈利FACTOR 15 考慮侵權(quán)時(shí)許可方與被許可方可能達(dá)成的許可費(fèi),2014/4/2,標(biāo)準(zhǔn)專利許可研討會(huì),27,復(fù)旦大學(xué)知識(shí)產(chǎn)權(quán)研究中心http://www.ipcenter