Standards & Intellectual Property

Jamie Clark, General Counsel ( 首席律师 ), OASISBeijing, October 2011

开放数据标准，知识产权法

主机和组织者

"OASIS"OASIS 是最大是最大的开放标准的电的开放标准的电子商贸集团。子商贸集团。 ""

50005000 多名与会专家，多名与会专家，从从 600600 家公司，政府和个人。家公司，政府和个人。

超过超过 7700 个技术委员会，制定 个技术委员会，制定 全球标准。全球标准。

Over 5,000 participants representing Over 5,000 participants representing more than 600 organizations and more than 600 organizations and

individuals, since 1993.individuals, since 1993.70+ technical committees producing 70+ technical committees producing

royalty-free royalty-free and RAND standards.and RAND standards.

http://www.oasis-open.org/

"The largest "The largest standards group standards group for electronic for electronic commerce on the commerce on the Web"Web"

OASIS interoperates with the worldOASIS interoperates with the world标准合作和全球协调是一流的标准合作和全球协调是一流的 OASISOASIS 优先优先 ISO, IEC, ITU, UN-ECE MoU for E-Business ISO/IEC JTC1 SC34, SC38; ISO TCs 154, 215, ITU-T SG 17 OECD, SWIFT, UPU, World Bank, Asia PKI, Changfeng (Beijing), CESI, EA-ECA,

Korean NIA, CEN/ISSS, Euro ICTSB, ETSI, PSLX, SIENA, Standards-AU ABA, ACORD, AIAG, CalConnect, CSCC, HL7, MBAA, NAESB, LRC,

InfoCard/OpenID, Kantara/Liberty, OAGi, ODCA, OGC, OMA, OMG, RosettaNet/GS1/UCC, W3C

http://www.oasis-open.org/liaisonshttp://www.oasis-open.org/liaisons

OASIS Global Work on OASIS Global Work on Software Standards in ChinaSoftware Standards in China中国软件标准的中国软件标准的 OASISOASIS 工作工作 Primeton, Sursen, Founders, RedOfficePrimeton, Sursen, Founders, RedOffice ISO/IEC ISO/IEC DIS 14297 (UOML)DIS 14297 (UOML) JTC1 SC38 & CESI JTC1 SC38 & CESI SmartGrid and SOA conferencesSmartGrid and SOA conferences

中国是官方标准的祖居中国是官方标准的祖居

OASIS interoperates with the worldOASIS interoperates with the world标准合作和全球协调是一流的标准合作和全球协调是一流的 OASISOASIS 优先优先

专家创建标准。OASIS 是一个裁判，

不是足球运动员。Member experts

develop and approve our standards.

OASIS staff is merely the referee.

Problems with Patents: 1

Fences are easy to understand. Fences are easy to understand. 栅栏容易理解。

Fences are easy to understand.Fences are easy to understand. 栅栏容易理解。

你的权利要求 Your claim 我的权利要求 My claim

Fences are easy to understand. Fences are easy to understand. 栅栏容易理解。

你的权利要求 Your claim 我的权利要求 My claim

Fences are easy to understand. Fences are easy to understand. 栅栏容易理解。

你的权利要求 Your claim 我的权利要求 My claim

你的马 your horse

你的马 你的马 your horseyour horse

我的马 我的马 my horsemy horse

Patent claims, not so easy. Patent claims, not so easy. 专利权利要求往往是含糊和困难。

Patent claims, not so easy. Patent claims, not so easy. 专利权利要求往往是含糊和困难。

我的权利要求My claim

你的权利要求Your claim

Patent claims, not so easy.Patent claims, not so easy. 专利权利要求往往是含糊和困难。

你的发明

我的发明

我的权利要求My claim

你的权利要求Your claim

Patent claims, not so easy.Patent claims, not so easy. 专利权利要求往往是含糊和困难。

你的发明

我的发明

我的权利要求My claim

你的权利要求Your claim

?

Problems with Patents: 2Patents are just one part of a larger government plan Patents are just one part of a larger government plan for marketplace for marketplace regulation: conflicting goals regulation: conflicting goals Trade between nationsTrade between nations Competition between industrial companiesCompetition between industrial companies Fairness and safety Fairness and safety 专利法是只有一个原则专利法是只有一个原则 ,, 政府调控市场政府调控市场的目标具有多重性的目标具有多重性。。 国与国之间的贸易 国与国之间的贸易 之间的竞争实业公司之间的竞争实业公司 安全性和公平性安全性和公平性

Problems with Patents: 3Patent filings are not carefully Patent filings are not carefully testedtested. . 1. File, have small review1. File, have small review2. Wait for a lawsuit2. Wait for a lawsuit3. Test the validity with a big review3. Test the validity with a big review

专利申请并不总是认真专利申请并不总是认真测试测试。。1.1. 文件，有一个弱的审查文件，有一个弱的审查2.2. 等待诉讼等待诉讼3.3. 试的有效性，有一个严重的审查试的有效性，有一个严重的审查

?

Patent filings may not be carefully Patent filings may not be carefully tested tested when filed. when filed. 专利申请并不总是认真专利申请并不总是认真测试测试。。

?U. S. Patent No. 5,443,036 (1993):

"Method of exercising a cat"

Some improvements to testing of validity, Some improvements to testing of validity, in US patent laws: in US patent laws: 2011 changes in law2011 changes in law More re-examination of applicationsMore re-examination of applications But other mixed changesBut other mixed changes

些改进过程：些改进过程： 20112011 种变化的专利法种变化的专利法 申请的审查申请的审查 ,, 其他人多可能反对它其他人多可能反对它 但其他混合的变化但其他混合的变化

?

Is a patent enforceable? All the legal Is a patent enforceable? All the legal uncertainty creates economic uncertainty.uncertainty creates economic uncertainty.

这专利真正有效的？这专利真正有效的？法律的不确定性导致经济不确定性。法律的不确定性导致经济不确定性。

?

Is a patent enforceable? All the legal Is a patent enforceable? All the legal uncertainty creates economic uncertainty.uncertainty creates economic uncertainty.

这专利真正有效的？这专利真正有效的？法律的不确定性导致经济不确定性。法律的不确定性导致经济不确定性。

?

Is a patent enforceable? All the legal Is a patent enforceable? All the legal uncertainty creates economic uncertainty.uncertainty creates economic uncertainty.

这专利真正有效的？这专利真正有效的？法律的不确定性导致经济不确定性。法律的不确定性导致经济不确定性。

?

““Patent Patent poolingpooling” agreements are a ” agreements are a consensus alternative to battles.consensus alternative to battles.““ 专利专利池池”的合同是个可能的”的合同是个可能的替代律师战斗。替代律师战斗。

““Patent pools”: But we may never Patent pools”: But we may never know if the patents are valid.know if the patents are valid.““ 专利专利池”，但我们可能永远池”，但我们可能永远不会了解如果专利是有效的。不会了解如果专利是有效的。

?? ?

““Patent pools”: And it is not always Patent pools”: And it is not always clear if everyone is included.clear if everyone is included.““ 专利专利池”，这并不总是很明确。池”，这并不总是很明确。

?? ?

Start with the basics首先我们谈的很简单的原则专利问题 The problems with patents The problems with patents 专利权利要求往往是含糊和困难专利权利要求往往是含糊和困难 Claims may be vagueClaims may be vague 许多相互竞争的规则 Competing regulations & goalsCompeting regulations & goals 专利的有效性往往是未知的 Patent validity may be vaguePatent validity may be vague

Start with the basics首先我们谈的很简单的原则专利问题 The problems with patents

放标准规则管理的专利 How standards fit into patent practicesHow standards fit into patent practices

Standards & Patents放标准规则管理的专利

Standards are voluntary.If companies choose to contribute to standards, they usually are safe from competition laws, if they are working in open standards.标准是自愿的。标准工作安全，如果标准委员会是公开和公平。

Standards & Patents放标准规则管理的专利Safe from regulation if they are fair and do not mislead others (commit fraud).安全从监管的问题，如果专家是真实和公平的。In the US “Rambus” cases, a company proved in court that it obeyed rules for reporting its patents: but still was charged by the government later for unfair activity.

Standards & Patents放标准规则管理的专利Open standards = rules and practices are fair, host is reliable and neutral. 开放的手段，标准规则和做法是公平的，主机是可靠和中立。 WTO 技术壁垒贸易条约 (Technical Barriers to Trade) ISO/IEC JTC1 “PAS” US OMB Circular A-119 盟委员会 2011 年标准的立法 (European Commission 2011 standards legislation)

Standards & Patents放标准规则管理的专利Each open standards host organizations has rules about patents: 每个标准主机组织的规则

Disclose patents ( 披露专利 ) Prefer broad licenses ( 喜欢广泛许可证 ) Commit to licenses ( 承诺牌照的 ) Share or pool licenses ( 股份或池牌照 ) Resolve conflicts ( 解决冲突 )

Standards Rules for Patents专利标准规则

DisclosureVolunteer experts must report what patents may affect implementations of the final standard. Some reporting rules are more clear than others.

ISO/IEC/ITU, OASIS, IETF

披露专利

喜欢广泛许可证

承诺牌照的

股份或池牌照

解决冲突

Standards Rules for Patents专利标准规则

Prefer broad licensesSome rules encourage, or require, royalty-free licenses from volunteer experts Most rules require “RAND” terms, but that requirement is not clearly defined

ISO/IEC/ITU, IETF (only encourages)OASIS (can require)

披露专利

喜欢广泛许可证

承诺牌照的

股份或池牌照

解决冲突

Standards Rules for Patents专利标准规则

Commit to licenses Most rules do not impose specific license terms on patents from volunteer experts Some do not require any commitment or report about licenses offered. (IETF)Some do impose specific license terms on volunteer experts (OASIS). http://www.oasis-open.org/cn/who/intellectualproperty.htm

披露专利

喜欢广泛许可证

承诺牌照的

股份或池牌照

解决冲突

Standards Rules for Patents专利标准规则

Share or pool licensesSome rules provide rights to any user.Some only license to other volunteer experts.Some also have special licenses for testing unfinished work.Many have “reciprocity” terms.

披露专利

喜欢广泛许可证

承诺牌照的

股份或池牌照

解决冲突

Patents in software 软件专利

Patents in software 软件专利

我的权要求

你的权利要求

? Software is still a new field. Patent laws really were designed more for mechanical and medical inventions. US did not accept software or business process for patents: but the court changed its mind in 1998.

软件是新的。专利不处理好。 1998 年后， US 允许软件专利。

Patents in software 软件专利

我的权要求

你的权利要求

? Government and citizens have special concerns about open data and Internet use. Buyers (RFPs) are more demanding. Open source software use affects license needs.

政府和公民有特殊需要的，开放的数据。软件购买者可能会要求标准。

开源软件的影响许可证的需要。

Patents in software 软件专利

我的权要求

你的权利要求

? Average cost of litigation: 诉讼的平均费用：

USD 3-12 millionRMB 19-76 000 000

Many are much bigger:许多更大：

SCO Group vs. IBMOracle vs. Google

Standards & Intellectual Property 2011

Yan (Allison) ShiOASIS China Representative

代表人 OASISallison.shi@oasis-open.org

Jamie Clark, General Counsel 首席律师

Beijing, October 2011jamie.clark@oasis-open.org http://weibo.com/jamiexml

开放数据标准，知识产权法 2011

http://www.oasis-open.org/cn/flash1.htm

謝謝!