企业参与标准必要专利许可谈判指引

Guidelines for Enterprises Participating in Standard-Essential Patent Licensing Negotiations

技术标准是技术开放与技术专有融汇的产物,随着物联网发展,越来越多企业使用信息通信技术标准,需要为企业参与标准必要许可谈判提供细致指引。技术标准化活动在市场经济环境中产生,FRAND机制具有降低交易成本作用。不过,FRAND机制在“再议价格”方面给出的具体指引不足够,这诱使权利人或实施者不当利用谈判优势,实施“专利劫持”“专利反劫持”。消解这些风险,需要为企业界定妥当的许可谈判流程,通过支持或不支持停止侵权禁令,约束交易双方显著破坏许可谈判的行为。许可谈判流程可采取“主指引+辅强制”规则:它要求程序合FRAND,交易双方应在谈判开始阶段交换基本信息,在谈判进行阶段交换关键信息、先成共识再议争议,在谈判僵局阶段尽快引入第三方解决争议。它要求实体合FRAND,在计费基础、计费方法、许可层级等问题上,既存在一些值得肯定的妥当做法,但也有一些做法未形成普遍共识,关键要协调标准的开放性与技术的专有性,促使“创新-利用-付费-再创新”加速循环。

Technology standards are the result of the integration of technology opening and technology proprietaryness.With the development of the Internet of Things,more and more companies are using information and computer technology standards,which require detailed guidance for companies participating in standard-essential patent(SEP)negotiations.Technology standardization activities arise in a market economy environment,and the FRAND mechanism plays a role in reducing transaction costs.However,the FRAND mechanism lacks specific guidance on"reasonable royalty"and can lead to abuses of negotiation advantages by rights holders or implementers,resulting in"patent hold-up"or"patent hold-out".To mitigate these risks,it is necessary to define an appropriate licensing negotiation process for companies and constrain the behavior of both parties by supporting or not supporting injunctive relief to stop infringement.The licensing negotiation process guidance adopts a"main guideline+supplementary enforcement"rule.It requires FRAND procedural,where both parties should exchange basic information at the beginning of negotiations,exchange key information and seek consensus on disputes during the negotiation process,and promptly introduce third-party dispute resolution in case of negotiation deadlock.It also requires FRAND in substance,addressing issues such as royalty basis,royalty calculating methods,and licensing tiers.While some reasonable practices exist,there is no widespread consensus on certain practices.The key is to balance the openness of standards and the proprietary nature of technology,promoting the accelerated cycle of"innovation,utilization,payment,and re-innovation".