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1、标准化中的知识产权与中国企业的对策 The IPR in Standards and the Strategy of China EnterprisesWTO：标准化中的知识产权（北京）国际研讨会2007年4月17-18日 倪光南.私有标准导致不平等竞争私有标准导致不平等竞争 Proprietary standard leads to unfair competition.应当提倡采用开放标准应当提倡采用开放标准 Promotion of open standard.标准化中的知识产权问题及其对策标准化中的知识产权问题及其对策 The IPR in standards and the stra
2、tegy of China enterprises.大力推广开源软件大力推广开源软件 Promotion of OSS.推进一些至关重要的开放标准推进一些至关重要的开放标准 Promotion of some important open standards.结束语结束语 Conclusion2.私有标准导致不平等竞争私有标准导致不平等竞争 Proprietary standard leads to unfair competitionn一旦某些私有技术或产品在市场上占据了垄断地位而成为“事实标准”，这些标准就是“私有标准”，它助长垄断，阻碍其他竞争者的发展。nOnce proprietary
3、 technology/product becomes de facto standard,it will enforce monopoly and destroy fair competition.3n例如微软的Windows操作系统、Office办公套件和IE浏览器等都是各自领域的事实标准，它们所涉及的许多标准都属于私有标准，其他企业很难在这些领域与微软进行竞争。nFor instance,Software such as Windows,Office and IE are de facto standards of their corresponding areas.They invol
4、ve proprietary standards.Other companies could hardly compete in these areas.4采用私有标准采用私有标准的弊端（的弊端（1）The disadvantages of proprietary standards1.不利于公平竞争。Against fair competition.由于私有标准不开放，用户被锁定于私有标准，使竞争对手很难开发与其兼容的产品，从而很难打破垄断。Proprietary standards are closed and users are being locked in.Thus competit
5、ors are very difficult to develop products/technologies compatible products.The monopoly resulted is very difficult to be broken.5n例 1:文档格式.doc,.xls,.ppt成为事实标准后，由于它不开放，国产Office经过了五、六年的努力，才基本上解决了兼容问题。但既不能做到100%的兼容，也不可能保证长久的兼容。nExp 1:The file formats(.doc,.xls,and.ppt)become de facto standards.It took
6、 5-6 years hard work to achieve the compatibility to them by domestic Office verdors.Even though its not 100%guaranteed and may not last long.6n例 2：现在很多网站是按照微软IE浏览器的私有标准设计的，因此使用其他浏览器（如FireFox、Opera、Safari等等）不能正常工作，这妨碍了其他浏览器的推广。nExp 2:Currently many websites are designed conforming to the proprietary
7、 standards of IE.Thus other browsers(FireFox、Opera、Safari etc.)cannot work properly with these sites,result in unfair competition.7n近几年来，开源浏览器FireFox的市场份额已达到14%左右，在欧盟有的国家里已达到20左右。但在中国，它却很难推广，这是因为中国很多网站（如几乎所有的电子银行）不是按照W3C发布的开放标准，而是按照IE的私有标准设计的。nRecently the market share of FireFox has reached 14%.In
8、some countries of EU it reaches as high as 20%.However FireFox is difficult to promote in China due to many websites such as most e-banks are based on the proprietary standards of IE.8采用私有标准采用私有标准的弊端（的弊端（2）The disadvantages of proprietary standards2.用户需付出很高代价。The users have to pay high cost.由于私有标准往往
9、是形成垄断的“事实标准”，它可以使掌握标准的企业获得高额垄断利润。Because most proprietary standards are the de facto standards that form monopoly.The owner of such standards may enjoy high profit.9n例：在1993年，中国PC厂商获得的DOS操作系统的OEM价格是10美元，只占当时典型PC成本的1%。而今天，Vista的报价甚至比低档PC的硬件还贵。这是因为操作系统已被Windows所垄断nExp:In 1993 the OEM price of DOS occu
10、pied 1%cost of a typical PC.However,today the list price of Vista may exceed the total hardware cost of a low end PC.The reason is obvious,as Windows has established monopoly in OS area.10采用私有标准采用私有标准的弊端（的弊端（3）The disadvantages of proprietary standards3.安全性问题。Security isssue.如果是采用私有标准的软件，增强其安全性很难、甚至
11、是不可能的。例如未经微软的认证，第三方不能给Vista的内核添加任何“补丁”或更换其密码模块，以满足用户的需求。It is very difficult even impossible to make security enhancement to proprietary software.For instance,third party cannot make patch to the Vistas kernel or to change its encryption module to meet particular user demand.11.应当提倡采用应当提倡采用开放标准（开放标准
12、（1）Promotion of Open standard.1.有利于公平竞争。Help to realize fair competition.开放标准给用户以自由选择的权利，保证各个厂商产品之间的互操作性，使竞争各方可以在市场上平等竞争，用户不会被锁定于某个特定的供应商，从而能避免产生垄断。Open standards give user the freedom of choice,ensure the interoperability between vendors,thus result in fair competition.User will not be locked to pa
13、rticular vendor and market will be able to avoid monopoly.12.应当提倡采用应当提倡采用开放标准（开放标准（2）Promotion of Open standard.2.有利于减轻用户负担。Help to reduce cost.在开放标准下，市场上存在着健康的竞争，用户可以选择性能价格比优越的产品。PC的硬件之所以能在性能迅速提高的情况下不断地降价，就是因为PC的硬件采用了开放标准。Open standards enable healthy competition.User may choose products with best
14、performance/price ratio.Its the reason why the cost of PC hardware can constantly be reduced while its performance is constantly improving.13.应当提倡采用应当提倡采用开放标准（开放标准（3）Promotion of Open standard.3.有利于增强安全性。Help to enhance security.采用开放标准，用户可以根据自己的需要，增强系统的安全性。例如中国的一些单位在Linux开放标准下，已经开发出了安全操作系统。Open Stan
15、dards enable users to enhance security according to their particular needs.For instance,coforming to Linux open standard some security enhancement operating systems have been developed in China.14作为一个真正的开放标准：作为一个真正的开放标准：As an real Open Standard:它的指标、内容应该是完全开放的；基本上应免费（或以公平、合理、非岐视的价格）提供给业界各方使用；标准的制订、控
16、制和演变应由一个开放的组织承担；实施标准的技术和产品可以从市场上取得。Its spec and content are opened and can be used without payment or with a RAND/FRAND payment.It is made,controlled and evolved by an open organization.The technologies/products for implementing such standard may easily be obtained on the market.15.标准化中的知识产权问题及其对策标准
17、化中的知识产权问题及其对策 The IPR in standards and the strategy of China enterprises私有标准无法使用或是需要付出高昂的代价。即使是开放标准，虽然要求对标准中知识产权的收费是“公平合理且非岐视”（RAND/FRAND）的，但有时知识产权收费仍非常昂贵。Proprietary standards may not be used by others or may require high cost to use them.Even for open standards with RAND/FRAND requirement，the cost
18、 of using IPR may still be very expensive.16n例1：我国DVD产业就是因为需付高额专利费而陷入困境，一台DVD机销售价仅60美元，但专利费就需付21美元；例2：今年3月在德国汉诺威消费电子、信息及通信博览会（CeBIT）上，数家中国MP3厂商遭遇国外企业的“专利狙击”，展台遭到德国海关查抄，损失重大。nExp 1:The DVD industry in China suffered from high license/royalty fee.A DVD of$60 price had to pay as high as$21 for patents
19、used.Exp 2:In CeBit this year some MP3 products of Chinese companies were confiscated due to unsettled negotiation with patent owners.17中国企业中国企业的对策（的对策（1）The strategy of Chinese companies1.中国企业应将建立自主的知识产权体系作为战略目标，逐步建立起自己的专利池，作为讨价还价的筹码，也才有可能通过交叉授权解决知识产权纠纷。1.Chinese companies should establish their ow
20、n IPR system,build up their own patent pool.Then they will have bargaining power and may solve IPR dispute by cross licensing.18中国企业中国企业的对策（的对策（2）The strategy of Chinese companies2.有关部门应当支持我国企业参加各种国际标准化组织，积极参予标准制订，争取主导制订一些标准。例如，中国主导的TD-SCDMA、AVS、闪联、WAPI等等，应全力推进这些标准的产业化，产生效益。2.Encourage Chinese compa
21、nies to join international organizations of standards.Encourage them to lead some standards such as TD-SCDMA,AVS,IGRS,WAPI and etc.To industrialize these standards and make profit.19中国企业中国企业的对策（的对策（3）The strategy of Chinese companies3.有关部门要提供专家和资金资源帮助企业应对知识产权纠纷。有关企业可以联合起来与专利池组织谈判，争取较优惠的条件。应组织知识产权专家调
22、查专利收费是否有效，是否合理；在与专利池组织谈判时，也应利用不同专利池组织之间的矛盾，争取获得较优惠的条件。3.Help companies to solve IPR dispute by providing necessary resources(experts and money).Companies involved in certain IPR issue may unite together in negotiation to seek a better deal.Experts should investigate if some patents were already out
23、of date or obsolete or non-effective.In negotiation better term may be obtained by utilizing the contradiction between different patent pools.20中国企业中国企业的对策（的对策（4）The strategy of Chinese companies4.支持标准中专利的“Ex Ante RAND”原则。现在国际上VITA组织提出的关于标准中专利的“Ex Ante RAND”原则已获得美国司法部的认可，这个原则要求标准中的专利必须事先公开并商定公平合理的、非
24、岐视的使用费。4.The“Ex Ante RAND”principle proposed by VITA has been accepted by DOJ in US.It requires working group members to disclose patents and patent applications that may become essential to implement that standard,to commit to license on FRAND terms,and unilaterally to declare the most restrictive
25、licensing terms that will be required.China should support this principle.21.大力推广开源软件大力推广开源软件 Promotion of OSSn开源软件能更好地支持开放标准；即使该开源软件成为某种“事实标准”，它也仍然是一个开放标准。开源软件可以节省购买版权的高额费用，随着熟悉开源软件人才的迅速增加，开源软件在总拥有成本（TCO）方面的优势也会愈来愈明显。nOSS can better support open standard.Once an OSS become de facto standard its sti
26、ll an open standard.OSS may save a lot by eliminating the cost of buying copyright.As people are getting familiar with OSS,its advantage of lower TCO will be more and more obvious.22开源软件的经济影响开源软件的经济影响Economic impact of OSS欧盟报告开源软件对欧盟信息通信技术（ICT）部门创新与竞争力的影响的某些结论(2006.11.20)：Some conclusions drawn from
27、 the“Study on the Economic impact of open source software on innovation and the competiveness of the Information and Communication Technologies(ICT)sector in the EU”(Nov.20,2006):23n开源软件在操作系统等一些重要市场中的份额已进入前三位。开源软件的价值可以用一些经济指标来衡量：据估计，现存的开源软件，如要重新开发将需化费120亿欧元；如由专职程序员开发，至少需要131000人年；而且，开源软件代码还在以每18-24个
28、月翻一番的速度继续增长；开源软件可以为工业界节省36%软件R&D投入。nThe market share of OSS in OS and some other important areas has reached the top 3.The existing OSS has a worth of 12b Euro if re-developed,it will consume 131,000 man-year if re-developed by dedicated programmers.The code size of OSS is doubled every 18-24moonth.
29、Its estimated that OSS may save 36%of software R&D for the industry.24n欧盟特别重视开源软件，因为欧盟认为，增加开源软件的使用可以补偿欧洲在ICT投入方面低于美国的不足；如欧洲将开源软件的比重从20%增加到40%，可取得每年100亿欧元以上的效益；开源软件尤其能帮助中小企业创业和增加求业。实际上，中国比欧盟有更多的理由来重视和推广开源软件。nEU pays great attention on OSS.Increasing the use of OSS can compensate the lower ICT investm
30、ent of EU(vs US).If EU increases the use of OSS from 20%to 40%,a revenne increasing of 10b Euro can be expected.OSS is particularly useful in helping SME development and increasing employment.China has more reason to adopt OSS as compared with EU.25.推进一些至关重要的开放标准（推进一些至关重要的开放标准（1）Promotion of some im
31、portant open standards.1.3G通信领域：应推广中国主导的TD-SCDMA标准，3G通信包括网络建设、运营、终端设备和增值服务等在内，牵涉到万亿元等级的市场，TD-SCDMA已具备产业化和商用条件，应尽快推进产业化。1.3G communication:The market size of 3G including network construction,operators revenue,terminals and value added services will be in the order of 1000b dollars.Now TD-SCDMA is ma
32、ture enough to be commercialized.Its the time to push 3G industrialization.26.推进一些至关重要的开放标准（推进一些至关重要的开放标准（2）Promotion of some important open standards.2软件领域。应推行一些至关重要的开放标准，并贯穿信息系统的设计、招标/采购、实施、评价的全过程。2.Software:Some important open standards should be adopted.The design,purchasing,implementing and eva
33、luating of an information system should all conform to such standards.27OS：Operating System:n应采用Linux平台开放标准；Should adopt Linux open standard.n鉴于Windows和Linux这二种OS将长期并存，所以对于应用软件也应要求“跨操作系统平台”。As Windows and Linux will co-exist for long time,applications should be those of cross-platform.28文档格式：文档格式：Fi
34、le format:n文档格式被.doc,.xls,.ppt等事实标准所垄断，不利于公平竞争。File formats(.doc,.xls,.ppt)have been de facto standard,causing unfair competition.n现在，基于XML的开放标准ODF已成为国际标准，中国的同类标准UOF将成为国家标准，它与ODF比较接近，有望融合起来成为国际标准，确立UOF有利于国产Office的推广。ODF has been accepted as international standard.The similar standard proposed by Chi
35、nese companies,i.e.UOF,will become a national standard.It may combine with ODF to become an international standard.It will be beneficial to the domestic Office software.29互联网互联网:Internet:n应推行W3C发布的开放标准。应通过第三方机构的评测，将支持IE私有标准而不符合W3C国际标准的网站名单公诸于众，促使这些网站进行改进，为其他非IE浏览器的推广扫清障碍.nShould promote open standar
36、ds of W3C.By introducing third partys testing,websites those who only conform to the proprietary standards of IE but not the open standards of W3C should be made publicity known to force them making improvement.By this way the obstacles for promoting other browsers can be cleared.30.推进一些至关重要的开放标准（推进
37、一些至关重要的开放标准（3）Promotion of some important open standards.3其他，如音视频编解码标准AVS：Others such as Audio/Video coding standard AVS:AVS已成为国家标准。中国网通已建立基于AVS的IPTV中间件平台，使AVS进入商用阶段。AVS将改变长期以来，在音视频编解码方面，中国需要支付高额专利费的状况（如MPEG2或未来的MPEG4/H.264）。AVS has been a national standard and is making commercial use by China NetC
38、om in IPTV applications.AVS will change the situation that Chinese companies for a long time had to pay high license/royalty fee for using MPEG2(or MPEG4/H.264 in future).31结束语：结束语：Conclusion:标准化中的知识产权问题已引起广大中国企业的重视，这里最重要的举措是增强自主创新能力，提高自己在标准中的话语权和自主知识产权的比重，将发展的主动权牢牢地掌握在自己手中。The IPR issue in standards has got great attention by Chinese companies.They should enhance innovation capability and develop their own IP in order to have better control of future development.谢谢大家！Thank you very much!33