IPKEY IP incentives and their effects on innovation

IPKEY IP incentives and their effects on innovation, commercialisation and monetisation of IP 知识产权激励及其对知识产权 创新、商业化和货币化的影响 Recent trends in IP licensing 知识产权许可的最新趋势

London Tuesday 8 th November 2016 Queen Mary University London 伦敦 2016年 11月8日星期二 伦敦玛丽女王大学 Emmanuel Gougé Avocat à la Cour – Solicitor in England Wales Emmanuel Gougé 英格兰和威尔士事务律师 tel: +33 1 53 53 02 80 emmanuel. gouge@pinsentmasons. com 电话：+33 1 53 53 02 80 电子邮箱： emmanuel. gouge@pinsentmasons. com

Summary 概要 1. IP business created entities 知识产权业务创造的实体 1. 1. State funded entities 国家资助的实体 1. 2. NPEs 非专利实施实体 2. Ip business created practices 知识产权业务创造的实践 2. 1. Open innovation 开放式创新 2. 2. Licensing for exploitation purpose 以利用为目的的许可

1. IP business created entities 1. 知识产权业务创造的实体

1. 1. State funded entities 1. 1. 国家资助的实体 • Jurisdictions including South Korean, Japanese, French and Taiwanese have established sovereign patent funds, a new type of investment vehicle intended to acquire strategically important intellectual property assets and in so doing, promote national economic objectives. • 韩国、日本、法国和台湾已设立了主权专利基金——一种新的投资 具，旨在获得具 有战略意义的知识产权资产，从而促进国家/地区经济目标的实现。 • France: • 法国 – France Brevet managed two sovereign funds created by the government: – France Brevet管理由政府设立的两种主权基金： • France brevet’s own funds: 100 M€ • France Brevet自有基金： 1亿欧元 • The French sovereign found (200 M€ is IP founds in France) • 法国知识产权主权基金： 1亿欧元 （法国知识产权基金为 2亿欧元） for IP (FSPI’s funds): 100 M€

1. 2. Non Practicing Entities (NPE) 1. 2. 非专利实施实体（NPE） • Valorisation advisors and portfolio managers • 专利增值顾问和投资组合经理 – Example: PATEV – 示例： PATEV • • Mandated representatives and valorisation agents 委托代表和专利增值代理人 – Example: SISVEL – 示例：SISVE • • Marketplace creators 市场创造者 – Example: Ocean Tomo or Yet 2. com: – 示例： Ocean Tomo 或 Yet 2. com • Patent auctions • Intellectual property transactions • 专利拍卖 • 知识产权交易 Patent Pool 专利 具 – Example: MPEGLA – 示例： MPEGLA

1. 2. Non Practicing Entities (continued) 1. 2. 非专利实施实体（续） • Patent troll behaviour? • 专利流氓行为？ – Negative prejudices against NPE – 对非专利实施实体的负面偏见 – Are Patent Trolls so evil? – 专利流氓行为是那么邪恶吗？ • Anti-troll entities: • 反专利流氓行为实体： – Example: Unified Patent – 示例：统一专利

2. IP business created practices 2. 知识产权业务创造的实践

2. 1. Open Innovation 2. 1. 开放式创新 What does Open Innovation mean? 什么是开放式创新？ • No clear definition • • • 无明确的定义 Opposition with closed internal innovation 与封闭式内部创新相对 Open Innovation is not exclusive of pure exploitation licencing. 开放式创新不排除纯利用许可 Non-Profit or Business Oriented? 是非盈利还是以商业为导向？ Limited to some parties only or Universal sharing? 仅限于某些当事方还是普遍共享？ As paradoxical as it can be, the open innovation may address all or some of these characteristics. 由于开放式创新可能是自相矛盾的，因此，开放式创新可具有全部上述特征或只具有部分特征。

2. 1. Open Innovation 2. 1. 开放式创新 2. 1. 1. Non-profit Open Innovation 2. 1. 1. 非营利开放式创新 2. 1. 2. Limited business collaboration 2. 1. 2. 限制性商业合作 2. 1. 3. Commercial objective with non-limited access 2. 1. 3. 途径不受限制的商业目的

2. 1. Open Innovation 2. 1. 开放式创新 2. 1. 1. Non-profit Open Innovation 2. 1. 1 非营利开放式创新 Multiple organisations are starting programs for various subjects using the open innovation trend to maximise their effectiveness. 许多组织正在利用开放式创新开展各种主题的项目，以使他们的效率最大化。 • WIPO’s Re: Search and WIPO Green • 世界知识产权组织“Re: Search and WIPO Green（关于检索和WIPO Green）” • USPTO’s Patents For Humanity program • 美国专利局的人道用途专利计划 • LESI’s Invent For Humanity • 国际许可贸易 作者协会的人道用途发明 • Medicines Patent Pool • 药品专利池组织

2. 1. Open Innovation 2. 1. 开放式创新 Focus on: Medicines Patent Pool 聚焦：药品专利池组织 7 Patent holders with MPP signed agreements 7 个专利持有人与药品专利池组织签署了协议 12 Generic manufacturers sub-licensed from the MPP 12个非专利药企获得药品专利池组织的再许可权 13 Medicines licensed to the organization 13 种药品被许可给组织 52 On-going pharmaceutical development projects 52个进行中的药品开发项目 90% Price Reduction on a key medicine for an HIV opportunistic infection 用于防治艾滋病毒机会性感染的关键药物的价格降低90% 120 Million dollars saved from 2012 to June 2015 从2012年至 2015年 6月，节约了1. 2亿美元

2. 1. Open Innovation 2. 1. 开放式创新 2. 1. 2. Limited business collaboration: 2. 1. 2. 限制性商业合作 This is undoubtedly the most used Open Innovation practice. 毋庸置疑，限制性商业合作是开放式创新使用最多 的方式。 It includes: 包括： • Transfer of Technology • • • 技术转让 Cross Licensing 交叉许可 合作者 �可/交叉�可

2. 1. Open Innovation 2. 1. 开放式创新 Transfer of Technology (To. T) case study: 技术转让（To. T）案例研究： Aeronautic industry in China 中国的航空 业巨头 • AIRBUS strategy: Controlled To. T • 空中客车公司的策略：受控制的技术转让 – Already opened an assembling factory and is going to open an other one. • • – 已开设一家装配 厂，将开设另一家装配 厂。 BOEING Strategy: Less attracted to To. T but follows in a lesser extend 波音公司策略：很少对转让技术感兴趣，今后更加没 兴趣转让技术 – About to open an interior-furnishing factory. – 即将开设一家内饰 厂。 SAFRAN Strategy: Collaboration but save the critical technologies in French facilities 赛峰集团策略：进行合作，但将关键的技术保留在法 国 厂。 – Opening a R&D center in China aiming for a large participation in the C 919 production. – 在中国成立了一家研发中心，旨在大规模地参与 C 919的生产。

2. 1. Open Innovation 2. 1. 开放式创新 Cross Licensing Case study No. 1: 交叉许可 案例研究 1： Nokia and Samsung expand their intellectual property cross licensing agreement: 诺基亚和三星扩大了知识产权交叉许可协议： Nokia and Samsung agreed terms to expand their patent cross license agreement to cover certain additional patent portfolios of both parties. This agreement is in addition to the outcome of the arbitration between the two companies that was announced on February 1, 2016. 洛基亚和三星就扩大专利交叉许可协议达成一致，以涵盖双方某些增补的专利组合。该协议是双方于 2016年 2月1日宣布的仲裁协定的补充。 • Sold activities but still strong licensing revenues: • 销售活动，但许可收入仍然占很大一部分： - Nokia sold the “Lumia” branch to Microsoft in 2014 - 2014年，诺基亚向微软公司出售了“Lumia”业务 - Nokia still exploits IP portfolio in mobile software technology: - 诺基亚仍然在开发用于手机软件技术的IP组合： - Run-rate increases from 800 to 950 M€ in 2016 - 2016年，运转率营收从8亿欧元增长至 9. 5亿欧元

2. 1. Open Innovation 2. 1. 开放式创新 Cross Licensing Case study No. 2: 交叉许可 案例研究 2： Public-Private cross licensing research project: 公私交叉许可研究项目： • Innovation Medicines Initiative (IMI) • 创新药物计划（IMI） IMI is the world's biggest public-private partnership (PPP) in the life sciences. 创新药物计划是世界上生命科学领域的最大的公私 合作计划（PPP）。 Partnership: 合作伙伴： • European Union • 欧盟 • European Federation of Pharmaceutical Industries and Association • 欧洲制药 业协会联合会 – Including large pharmaceutical firms and SMEs – 包括大型制药企业和中小企业 – Including universities. – 包括大学 Purpose: 目的： • Speeding up the development of, and patient access to, innovative medicines, particularly in areas where there is an unmet medical or social need • 加快创新药品的开发并使患者可获得创新药品，特别 是药品不足或社会急需药品的地区。 Budget: 预算： One of the IMI programmes, has a € 3. 3 bn budget for the period 2014 -2024. Of which: 2014年至 2024年期间，一项IMI项目需要33亿欧元预算，其 中： • € 1. 638 billion (half the budget) comes from ”Horizon 2020”, the EU's framework program for research and innovation • 16. 38亿欧元（预算的一半）来自“地平线 2020”—— 欧盟科研和创新框架计划。 • € 1. 425 billion is committed to the program by EFPIA companies. • 14. 25亿欧元用于欧洲制药 业协会联合会所属的公司 开展的项目。

2. 1. Open Innovation 2. 1. 开放式创新 Non-limited business licensing: 非限制性商业许可; This section gathers the regulated practices and isolated initiatives that combine a commercial aspect and an unlimited offer of license. 本部分内容包含受规制的实践和将商业与不受限制 的许可邀请结合起来的独立计划。 It includes: 其包括： - FRAND Licensing - FRAND（公平、合理及非歧视）许可 - The exception: TESLA 例外： TESLA （特斯拉开放专利） 专利所有人 利害关系公司

2. 1. Open Innovation 2. 1. 开放式创新 • • SEP theory and Interoperability: 标准必要专利（SEP）理论和互用性 – The qualification of SEP: – 标准必要专利的条件： • Advantages: • 优点： – Maximize perceived value for the owner – 能使专利权人的感知价值最大化 – Insure the respect of competition – 确保竞争 • Disadvantages: • 缺点 – The owner can’t refuse to licence – 专利权人不得拒绝许可 – Too many patents are qualified as SEP – 太多的专利有资格被视为标准必要专利 – The misunderstanding /misuse /abuse of IP rights are a threat to interoperability – 误解/误用/滥用专利权对互用性构成威胁。

2. 1. Open Innovation 2. 1. 开放式创新 • • FRAND licensing: 公平、合理、和不带歧视性的条款许可： – The original purpose – 初衷： – The problems: – 存在的问题： • The Royalty stacking • 版权税重叠问题 • Patent Hold-up vs Patent Hold-out • 专利劫持和专利授予 • Abuse of dominant position • 滥用支配地位 • Lack of transparency • 缺乏透明性 – Solutions? – 解决方案

2. 1. Open Innovation 2. 1. 开放性创新 • • TESLA: A true open innovation? 特斯拉：真正的开放性创新？ Tesla announced in 2014 that they will let everybody use the technology of their patent without infringement threat. 特斯拉2014年宣布，他们将允许所有人使用 他们的专利技术，而不主张专利侵权威胁。 Which means free implied licences to anyone interested. 这意味着默示许可任何利害关系人可自由使 用他们的专利技术。 But the risk is calculated, says Mr. Musk. He hopes to stimulate the ecosystem. And thus change the image of electric cars, expand its market and ultimately sell more cars. 但是，Musk先生却说，风险是可估量的。Musk先生希望促进生态系统的发展。从而改 变电动汽车的形象，扩大其市场份额，最终出售更多的汽车。 This position is isolated and will stay that way due to the particular situation of the electric cars. 这个观点是孤立的，并且由于电动汽车的特定情况，这个观点的情况也不会发生改变。

2. 2. Licensing for exploitation purpose 2. 2. 以利用为目的许可 • Biggest companies practices: • 大型公司的实践 - Swarming: creation of a start up with a piece of the internal developed technologies to exploit it - 群集：利用一项国内开发的技术创建创业公司，以利用该项技术 - Negotiation leverage: IP licensing is a possible leverage to obtain an access to another technology. It’s a win-win negotiation. - 谈判杠杆：知识产权许可是一项获得他人技术的可行方式。这是一项双赢的举措。 • SME and Start-up practices: • 中小企业和创业公司的实践 - Patent Bank: allow them an access to a service of valorisation of the IP portfolio that they can’t assume themselves - 专利银行：使得他们可以获得他们自己不能提供的知识产权组合增值服务

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