背景知識(shí)產(chǎn)權(quán)和前景知識(shí)產(chǎn)權(quán)

1、背景知識(shí)產(chǎn)權(quán)和前景知識(shí)產(chǎn)權(quán)BackgroundIPandForegroundIP背景知識(shí)產(chǎn)權(quán)和前景知識(shí)產(chǎn)權(quán)：定義、使用范圍和規(guī)則在商業(yè)交易中，尤其是高科技行業(yè)，合同雙方常常專注于知識(shí)產(chǎn)權(quán)權(quán)利歸屬問(wèn)題、互不相讓。討論的核心在于買(mǎi)方在本次交易中到底能獲得多少知識(shí)產(chǎn)權(quán)權(quán)利/許可，大多數(shù)時(shí)候，作為買(mǎi)方，只會(huì)在使用產(chǎn)品必須的范圍內(nèi)獲得專利許可。然而，近年來(lái)，買(mǎi)方所提供的標(biāo)準(zhǔn)合同文本，有擴(kuò)張其知識(shí)產(chǎn)權(quán)權(quán)利的趨勢(shì)。In commercial transactions, especially high-tech commercial transactions, there is usually a secti

2、on of the parties contract devoted to what IP rights the buyer obtains in the deal. Most of the time, the rights are limited to use of the IP in the product, as the product is intended to be used. However, standard contracts from buyers are increasingly trying to expand their rights.合作開(kāi)始前，雙方會(huì)以自己原本擁有

3、的知識(shí)產(chǎn)權(quán)作為籌碼進(jìn)行談判。此時(shí)，生產(chǎn)方至少擁有兩方面的知識(shí)產(chǎn)權(quán)：他獲得授權(quán)可以使用的IP，以及他自己獨(dú)立開(kāi)發(fā)獲得的IP。有時(shí)候，買(mǎi)方也會(huì)擁有一些與實(shí)現(xiàn)產(chǎn)品技術(shù)方案相關(guān)的知識(shí)產(chǎn)權(quán)。所有這些可被統(tǒng)稱為“背景知識(shí)產(chǎn)權(quán)”，即BackgroundIntellectualProperty。To begin with, the parties will come to the bargaining table with their own IP. At the very least, the manufacturer will have IP it can use, and/or has independ

4、ently developed. Sometimes the buyer will have its own IP often related to implementing its product specifications. This is known as “Background Intellectual Property,” or “Background IP.”以此為出發(fā)點(diǎn)，雙方會(huì)對(duì)彼此擁有的背景知識(shí)產(chǎn)權(quán)的使用和歸屬問(wèn)題進(jìn)行談判。通常來(lái)說(shuō)，任何一方都不會(huì)將自己的背景知識(shí)產(chǎn)權(quán)轉(zhuǎn)讓給對(duì)方。買(mǎi)方會(huì)將背景知識(shí)產(chǎn)權(quán)部分授權(quán)給生產(chǎn)方使用，以便生產(chǎn)方生產(chǎn)所需產(chǎn)品，而生產(chǎn)方也只會(huì)在為實(shí)現(xiàn)產(chǎn)品的使用

5、功能所必需的范圍內(nèi)，將自己的背景知識(shí)產(chǎn)權(quán)授予給買(mǎi)方有限使用。From this starting point, the parties will negotiate what rights they have to this Background IP. Usually, neither party gives the other party any of its Background IP. The manufacturer has limited use of the buyers Background IP to make the buyers product, and the buye

6、r has limited use of the manufacturers Background IP only to the extent the use is connected with the product being used as intended. Thats it.然而，有的時(shí)候，買(mǎi)方會(huì)希望獲得生產(chǎn)方的背景IP，以便在合同結(jié)束后依然能夠由自己合法生產(chǎn)所需產(chǎn)品。在IP托管協(xié)議中，這屬于較為“粗糙”的一種規(guī)避伎倆。有時(shí)候，買(mǎi)方還會(huì)在合同中加入條款，確保自己有權(quán)獲得衍生作品的知識(shí)產(chǎn)權(quán)權(quán)利。生產(chǎn)方應(yīng)當(dāng)對(duì)這些條款保持警惕。這些知識(shí)產(chǎn)權(quán)規(guī)定超出了使用產(chǎn)品所需要的范圍?？偠灾?，如果一個(gè)

7、買(mǎi)家在使用產(chǎn)品所必需的范圍之外，希望獲得知識(shí)產(chǎn)權(quán)權(quán)利，那么他必須為此支付額外的費(fèi)用。Sometimes though, the buyer will want the right to the manufacturers Background IP to manufacture the product itself upon termination of the contract. This is a very rough end-run around an IP Escrow Agreement. Also, buyers may insert language into the contr

8、act giving it rights to create derivative works of the IP. Manufacturers should be vigilant to protect against giving rights such as these away. These IP rights are in addition to the intended use of the product. Generally, if a buyer wants rights to IP that are in addition to the intended use of th

9、e product, they must pay a premium for these.一旦合同雙方開(kāi)始業(yè)務(wù)合作，新的智力成果就會(huì)產(chǎn)生。例如:1)生產(chǎn)方改進(jìn)了產(chǎn)品；2）買(mǎi)方與生產(chǎn)方簽訂了創(chuàng)造新產(chǎn)品的合同，尤其是對(duì)于買(mǎi)方，以及/或者3）生產(chǎn)方恰好擁有一項(xiàng)基礎(chǔ)性產(chǎn)品，可被適用于買(mǎi)方的技術(shù)方案。這些在雙方開(kāi)始業(yè)務(wù)合作以后而誕生出的新的智力成果，就是我們所稱的“前景知識(shí)產(chǎn)權(quán)”，即ForegroundIP。Once the parties start doing business together, IP can be created. For example, 1) the manufacturer

10、 may improve the product over time, 2) the buyer may contract with the manufacturer to create something new, specifically for the buyer, and/or 3) a manufacturer may have a base product that it adapts or customizes to the buyers specifications. This creation of new IP after the parties begin trading

11、 is what is referred to as “Foreground Intellectual Property,” or “Foreground IP.”買(mǎi)方是否有權(quán)在使用產(chǎn)品所必須的范圍之外使用知識(shí)產(chǎn)權(quán)，由他一開(kāi)始出價(jià)所購(gòu)買(mǎi)的對(duì)象所決定。這個(gè)問(wèn)題可以歸結(jié)為：買(mǎi)方是否為無(wú)限制使用IP的權(quán)利支付了相應(yīng)對(duì)價(jià)？這不是一個(gè)很容易可以得到答案的問(wèn)題，所以，在合同中，這些內(nèi)容必須被清楚而明確的規(guī)定下來(lái)。Whether a buyer is entitled to use the Foreground IP outside of the intended use of the products d

12、epends on what is being purchased. It boils down to this Is the buyer paying for the unrestricted rights to the IP? That is not often easy to answer, and that is why the contract has to clearly state these rights.我們快速瀏覽一下三種情況：1）生產(chǎn)方必須慎重考慮涉及到前景知識(shí)產(chǎn)權(quán)的合同，因?yàn)樵诤贤陂g，任何生產(chǎn)方對(duì)基礎(chǔ)產(chǎn)品所作的改進(jìn)，都可能會(huì)落入“前景知識(shí)產(chǎn)權(quán)”的寬泛范圍之中。如果生產(chǎn)

13、方已經(jīng)將前景知識(shí)產(chǎn)權(quán)權(quán)利轉(zhuǎn)讓給買(mǎi)方，那么除了買(mǎi)方以外，生產(chǎn)方再也無(wú)法將改進(jìn)后的產(chǎn)品銷售給任何其他人。同時(shí)，如果有不止一家買(mǎi)方擁有這項(xiàng)改進(jìn)知識(shí)產(chǎn)權(quán)，那么生產(chǎn)方可能會(huì)被視作違約無(wú)論生產(chǎn)方是否實(shí)際改進(jìn)了基礎(chǔ)產(chǎn)品。相應(yīng)的，生產(chǎn)方必須非常小心謹(jǐn)慎的去定義“前景知識(shí)產(chǎn)權(quán)”的范圍，并且適當(dāng)限制前景IP的轉(zhuǎn)讓自由度。Lets quickly look at the 3 scenarios, above. 1) The manufacturer has to really be careful about its contracts related to Foreground IP, because any m

14、anufacturer improvement to a base product during the term of the contract could fall under a broad definition of “Foreground IP.” If the manufacturer has transferred the rights to Foreground IP to its buyer, it may not be able to sell its improved base product to anyone except the buyer. Also, if mo

15、re than one buyer has the same Foreground IP rights, then the manufacturer could be in breach of contract whenever it improves its base product. Accordingly, manufacturers must be very careful about the breadth of the definition of “Foreground IP,” and limit the transfer of it where appropriate.2）第二

16、種情況之中，由生產(chǎn)方設(shè)計(jì)并生產(chǎn)為買(mǎi)方量身定制的產(chǎn)品，那么生產(chǎn)方很有可能會(huì)希望獲得額外的報(bào)酬，因?yàn)樗麡O有可能必須同時(shí)將前景IP無(wú)限制的銷售出去。如果買(mǎi)方不愿意支付這筆費(fèi)用，那么合同中必須明確闡明，生產(chǎn)方可以將合作過(guò)程中所產(chǎn)生的前景IP自由銷售給任意第三方。2) In the second scenario where a custom product is designed and produced by the manufacturer for the buyer, the manufacturer will likely want to charge a premium for this w

17、ork because it is likely selling unrestricted Foreground IP rights. If the buyer does not want to pay the premium, the contract needs to clearly state that the manufacturer is free to sell products that incorporate the Foreground IP to third parties.3）最后，也是最困難的一種情況是，生產(chǎn)方原有的基礎(chǔ)產(chǎn)品恰好完全滿足買(mǎi)方的需求。如果買(mǎi)方告訴了生產(chǎn)方如

18、何將該基礎(chǔ)產(chǎn)品適用到買(mǎi)方所需的技術(shù)方案中，那么買(mǎi)方一定不希望生產(chǎn)方將包含有該項(xiàng)知識(shí)產(chǎn)權(quán)的產(chǎn)品再銷售給任何第三方，尤其是買(mǎi)方的競(jìng)爭(zhēng)對(duì)手。既然如此，那么只能由買(mǎi)方擁有前景知識(shí)產(chǎn)權(quán)。然而，如果生產(chǎn)方是自主找到適用其基礎(chǔ)產(chǎn)品的方法的，并且并沒(méi)有就這部分適用方面的創(chuàng)新向買(mǎi)方收取費(fèi)用，那么生產(chǎn)方應(yīng)當(dāng)擁有此種前景知識(shí)產(chǎn)權(quán)。相反，如果生產(chǎn)方收取了這部分的費(fèi)用，那么買(mǎi)方就能有足夠理由認(rèn)為他已購(gòu)買(mǎi)了針對(duì)前景知識(shí)產(chǎn)權(quán)的無(wú)限制使用權(quán)利。3) Finally, the most difficult issue is where the manufacturers base product is specifically

19、 adapted for the buyers needs. If a buyer shows the manufacturer how to adapt the manufacturers base product to the buyers specifications, the buyer will not want the manufacturer using that IP in a product it sells to anyone else, especially a competitor of the buyer. As such, the buyer should own

20、the Foreground IP. However, if the manufacturer is the party that figures out how to adapt its base product, and does not charge the buyer for the adaptation, then the manufacturer should own the Foreground IP. Conversely, if the manufacturer does charge the buyer for the adaptation, the buyer has a

21、 good argument that it has purchased the unrestricted rights to that Foreground IP.在所有這三種情況之中，矛盾都存在于：買(mǎi)方是否購(gòu)買(mǎi)了背景IP（對(duì)于背景IP，買(mǎi)方獲得無(wú)限制權(quán)利的理由比較薄弱）以及前景IP（對(duì)于前景IP，買(mǎi)方獲得無(wú)限制權(quán)利的理由更為充分）。生產(chǎn)方會(huì)更多的考慮他的基礎(chǔ)產(chǎn)品或者背景IP所能創(chuàng)造的價(jià)值。所以，對(duì)于生產(chǎn)方而言，產(chǎn)品使用所必需范圍以外的知識(shí)產(chǎn)權(quán)不可被轉(zhuǎn)讓。相反的，買(mǎi)方則認(rèn)為，將基礎(chǔ)產(chǎn)品適用到買(mǎi)方需求過(guò)程中所利用的IP才是真正的價(jià)值所在。所以，對(duì)于買(mǎi)方而言，支付的對(duì)價(jià)大部分是針對(duì)前景IP，認(rèn)為

22、買(mǎi)方已經(jīng)購(gòu)買(mǎi)了對(duì)前景IP的無(wú)限制權(quán)利。In all three of these scenarios the conflict is whether the buyer is buying the Background IP (for which it has little grounds for unlimited title) versus the Foreground IP (for which it has better grounds for unlimited title). The manufacturer will likely think its base product,

23、or Background IP, is what creates value. Thus, to the manufacturer no IP rights outside of the intended use of the product are transferred. Conversely, the buyer may believe that the real value is the IP used in adapting the base product to the buyers needs. Thus, to the buyer since the price is lar

24、gely for the Foreground IP, the buyer has bought the unlimited rights to the Foreground IP.例如，我代表一個(gè)客戶，我們生產(chǎn)堅(jiān)固耐用、高科技的設(shè)備，這些設(shè)備會(huì)被用于火車、公交、城市公共設(shè)施以及電子工廠里的電子組件中。客戶常常因?yàn)橛龅嚼щy的計(jì)算機(jī)問(wèn)題而來(lái)找我們。我的客戶是少數(shù)幾家了解如何將包含在產(chǎn)品內(nèi)的解決方案落實(shí)到實(shí)處以解決復(fù)雜外部環(huán)境問(wèn)題的公司中的一家?，F(xiàn)在，我的客戶認(rèn)為，產(chǎn)品的真正價(jià)值在于里面包含的基礎(chǔ)產(chǎn)品。為客戶的需求進(jìn)行定制看起來(lái)就像是蛋糕上的奶油。然而，在客戶的想法中，他們認(rèn)為真正的價(jià)值在于對(duì)基礎(chǔ)

25、產(chǎn)品的定制行為。并且希望擁有這類前景IP，完整擁有！For example, I represent a client that manufactures sturdy, high-tech equipment that can be used in the electrical components of trains, buses, city infrastructure and electrical plants. Its customers come to it with difficult computing problems. My client is one of only a handful of companies that know how to implement these solutions in a product strong enough to handle some rough conditions. Now, in my clients mind, the real value in the product is the base product. Customization to fit the customers needs is just the icing on the cake. Ho