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2021年12月8日，英国知识产权局更新了知识产权许可指南，该指南除了列举了知识产权许可的好处之外，还给出了一个知识产权许可协议提要，以及一个知识产权许可检查清单。 我们对上述知识产权许可协议提要进行了翻译，供国内主体参考。该提要给出了签署许可协议应当包含的主要条款和应当注意的事项，适用各类知识产权的许可。需要注意的是，在具体交易中，仍然应当进行适应性调整。虽然这些条款已经非常全面，但是，可能仍然并不全面，例如许可人的保证条款、侵权处理条款等。 当然，本提要仍然给知识产权许可提供了一个非常好的指引，特别是配合知识产权许可检查清单使用。 下载英国知识产权局编制的“知识产权许可检查清单”PDF版，请关注“大岭IP”公众号后，后台回复“清单”下载。 Skeleton Licences 知识产权许可协议提要 Common licence terms 通用许可条款 1. Parties 1. 缔约方 The names and identifying details of the licensor and licensee (and any other parties to the agreement, for example a guarantor). 许可人和被许可人（以及协议的任何其他方，例如担保人）的姓名和身份识别信息。 2. Recitals 2. 鉴于条款 These set out the background to the transaction. While not formally part of the agreement itself, they may be useful as a record of the purpose of the transaction and useful if there is ambiguity in the agreement. 这些规定了交易的背景。 虽然它们本身不是协议的正式组成部分，但它们可能有助于记录交易目的，并且在协议中存在歧义时也很有用。 3. Definitions 3. 定义 Define specific terms used in the agreement. 定义协议中使用的特定术语。 4. IP to be licensed 4. 要许可的知识产权 Details of the IP rights being licensed must be set out accurately in the agreement. These details may appear inthe opening of the document or, if the details are extensive, may be put in a Schedule at the end of the agreement. 被许可的知识产权的详细信息必须在协议中准确列出。这些细节可能会出现在文件的开头，或者如果细节是大量的，可能会放在协议末尾的附表中。 5. Use to be made of the IP 5. 可以用IP做什么 The agreement must say what the licensee can do with the IP. For example, make goods using the IP, sell those goods, etc. 协议必须说明被许可人可以用知识产权做什么。例如，使用IP制造商品，销售这些商品等。 The licensee may only be allowed to use the IP in relation to certain sorts of goods. Note that competition law is likely to impact on such restrictions. So these need to be discussed with your advisors. 被许可人可能只被允许将知识产权用于特定种类的商品。请注意，竞争法可能会影响此类限制。因此，这些需要与您的顾问讨论。 6. Geographic area where the IP may be used 6. 可能使用知识产权的地理区域 The agreement must define where the IP may be used. For example a licensee may be allowed to make goods in only one country but to sell more widely. 协议必须定义可以在何处使用 IP。例如，被许可人可能只被允许在一个国家生产商品但销售范围更广。 Note that competition law is likely to impact on such restrictions. So again these need to be discussed with your advisors. 请注意，竞争法可能会影响此类限制。因此，这些需要再次与您的顾问讨论。 7. Status of the licence 7. 许可的状态 Is the licence being granted exclusive (the licensor may not use the IP and only the licensee can use it); sole (the licensor and the licensee may use the IP, but no other licences can be given); non-exclusive (the licensor mayuse the IP and may license others to use it too)?[Note the terms exclusive, sole and non-exclusive commonly have the meanings set out here, but they willusually be defined in more detail in the agreement.] 授予的许可是否是排他性的（许可方不得使用知识产权，只有被许可方可以使用）；独家的（许可人和被许可人可以使用知识产权，但不能授予其他许可）；非排他性（许可方可以使用知识产权，也可以许可他人使用）？[请注意术语排他性、独家性和非排他性通常具有此处规定的含义，但通常会在协议中进行更详细的定义。] Can the licensee grant sub-licences and if he can to whom and on what terms? 被许可人能否授予分许可？如果可以，授予谁？以什么条件授予？ 8. Life of the licence When does the licence start and end. 许可什么时候开始和结束。 [Commonly for IP having a natural life, such as patents, the licence will continue until the specific patent or patents licensed under the agreement expire. For licences of trade marks and know-how the life will normally be specified as a period of years. And see “Termination By the running of time” below.] [通常对于具有当然寿命的知识产权，例如专利，许可将持续到协议下许可的特定专利或多个专利到期。对于商标和专有技术的许可，有效期通常指定为几年。并参见下面的“随着时间的推移而终止”。] 9. Transfer of technology 9. 技术转让 How and when will know-how be transferred to the licensee. This might include the licensor supplying drawings and manuals and providing technical help in the licensee’s plant to set it up and get it running. While the initial help may be included in the normal licence payment terms there is often provision for extra help to be paid for. 如何以及何时将专有技术转让给被许可人。这可能包括许可方提供图纸和手册，并在被许可方的工厂中提供技术帮助以进行设置和运行。虽然最初的帮助可能包含在正常的许可付款条款中，但也会有提供额外的帮助需要付费的通常条款。 The licence may provide for on-going help, again usually for a fee. 许可协议可以提供持续的帮助，通常也是收费的。 10.Confidentiality 10.保密 If information that is confidential to a party, including know-how, is being transferred (as in practice it almost certainly will be) there will be restrictions on what use can be made of it, who can have it, and any relevant terms, such as signing confidentiality agreements, that apply to such a recipient. The licensor may require the licensee to enforce such confidentiality agreements. 如果对一方保密的信息（包括专有技术）被转移（实际上几乎肯定会转移），将会限制其用途、谁可以拥有它以及任何相关条款，例如签署保密协议，适用于此类接收者。许可人可以要求被许可人执行此类保密协议。 11. Standards of quality 11. 质量标准 Particularly in trade mark licences, where the reputation of the licensor depends on the quality of the products sold under his mark, the licensee will have to produce goods to a particular standard of quality to prevent there being any damage to the reputation of the licensor’s trade marks. 特别是在商标许可中，许可人的声誉取决于以其商标销售的产品的质量，被许可人必须按照特定的质量标准生产商品，以防止对许可人商标的声誉造成任何损害。 The licensor will want to be able to check that the standards are being observed. 许可方希望能够检查是否遵守了标准。 12.Performance obligations 12.履约义务 Particularly in an exclusive or a sole licence, where the licensee is the only or a major source of revenue from the products, the licence needs to oblige the licensee to perform. This is commonly done by making the licensee use “his best endeavours” or “all reasonable endeavours” to work the licence. 特别是在排他性或独家许可中，被许可人是产品收入的唯一或主要来源，许可需要强制被许可人履行。这通常是通过让被许可人使用“他最大的努力”或“所有合理的努力”来获得许可来实现的。 However these obligations are imprecise and the licensee may also have to: 然而，这些义务并不准确，被许可人可能还必须： · Make minimum sales under the licence, the minima increasing each year; · 许可下的最低销售额，最低每年增长； · Earn (or in some cases pay) minimum royalties under the licence, such royalties increasing each year (and possibly being further increased for inflation see “inflation” below); · 根据许可赚取（或在某些情况下支付）最低许可费，此类许可费逐年增加（并且可能因通货膨胀而进一步增加，请参见下面的“通货膨胀”）； to ensure that the licensor is rewarded for his licence. 以确保许可人因其许可而获得报酬。 Failure would be a breach of the licence and allow the licensor to terminate the licence (see “termination”below)and/ or to convert the licence from an exclusive or sole licence to a non-exclusive licence. 失败将违反许可协议并允许许可人终止许可（见下文“终止”）和/或将许可从排他或独家许可转换为非排他许可。 13.Improvements 13.改进 There need to be provisions for each party to supply improvements to the IP to the other,and setting out what use that can be made of those improvements. Usually the licensee can only use the improvements within the scope ofthe licence. But the licence needs to say whether improvements licensed to the licensor can be used for all purposes or only within the scope of the licence, and whether the licensor can pass them on to his own licensees. 需要为每一方向另一方提供对知识产权的改进做出规定，并规定可以利用这些改进做出什么用途。通常被许可人只能在许可范围内使用改进。但是许可协议需要说明许可给许可人的改进是否可以用于所有目的或仅在许可范围内使用，以及许可人是否可以将它们传递给自己的被许可人。 If you want the licensee to assign back improvements to you this may cause difficulties. You are strongly advised to seek advice from an advisor specialising in competition law. 如果您希望被许可人向您分配回溯改进，这可能会导致困难。强烈建议您向专门研究竞争法的顾问寻求建议。 14. Fees for the licence 14. 许可的费用 Fees for the licence can include one or more of: 许可费用可以包括以下一项或多项： · A lump sum on or shortly after signing the licence; · 在签署许可协议时或在签署后不久一次性支付； · Periodic payments, perhaps quarterly or six monthly, including payments on account of royalty; · 定期付款，可能是每季度或每六个月，包括许可费； · A royalty based on the number or the value of items made and/ or sold under the licence. · 基于许可协议下制造和/或销售的项目的数量或价值的许可费。 If the royalty is based on the selling price of the goods there need to be provisions to ensure that the price is an open market price and not a transfer price at which the goods are sold to an associated company, which might be less than the open market price. 如果许可费是基于商品的售价，则需要有规定以确保价格是公开市场价格，而不是将商品出售给关联公司的转让价格，后者可能低于公开市场价格。 15. Inflation 15. 通货膨胀 If a royalty is based on the sale price the royalty rate will change as the price of the goods change with inflation and with changes in the efficiency of producing the goods, so that no particular terms for dealing with inflation are needed. 如果许可费基于销售价格，则许可费率将随着商品价格随通货膨胀和商品生产效率的变化而变化，因此不需要特定的条款来应对通货膨胀。 If the payments are not linked to the sale price, to allow for inflation any future payment may be indexed to a suitable index appropriateto the particular goods dealt with. 如果付款与销售价格没有联系，为了允许通货膨胀，任何未来的付款可以索引到适合于所处理的特定商品的合适的指数。 16. Payment of monies due 16. 应付款项的支付 The licence needs to specify when fees will be paid. Pre-established lump sum fees can be paid on a specific day. For royalty payments a common provision is for the licensee to calculate how much he has sold in, say, each three month period and to pay the royalty due within one month after the end of that three months. 许可协议需要指定何时支付费用。可以在特定日期支付预先确定的一次性费用。对于许可费，一项常见规定是让被许可人计算他在例如每三个月期间的销售量，并在三个月结束后的一个月内支付应支付的许可费。 17. Exchange rates 17. 汇率 If royalties are not calculated in Pounds Sterling, a mechanism for calculating the exchange into Pounds Sterling is needed. This is commonly done by calculating the amount of royalty due in the local currency and then calculating how much in Pounds Sterling that money will buy on the due date for payment. That amount is the sum due to the licensor and it is not affected by fluctuations in the exchange rate thereafter. [If exchange rates change thereafter this may benefit or disadvantage the licensee, but the licensor knows exactly how much he is due.] 如果许可费不是以英镑计算，则需要一种机制来计算兑换成英镑。这通常是通过计算以当地货币计算的应付许可费金额，然后计算这笔钱在到期日将购买多少英镑来完成的。该金额是应付给许可人的款项，不受此后汇率波动的影响。[如果此后汇率发生变化，这可能对被许可人有利或不利，但许可人确切地知道他应支付的金额。] 18. Late payment 18. 逾期付款 There is commonly a provision for interest to accrue on late payments, often calculated as so many percent about a well established rate of interest, for example the rate of interest demanded by a UK clearing bank. 通常会规定对逾期付款产生利息，通常计算为已确立的利率的百分比，例如英国清算银行要求的利率。 19. Accounts 19. 账目 The licensee is usually required to produce accounts each year, verified by his accountant, that the payments made are correctly calculated. Again there are usually provisions to deal with the situation if there has been over payment [royalty carried forward against future royalties] or under payment [pay the difference plus interest,as above]. 被许可人通常需要每年提供由其会计师核实的账目，以确保所支付的款项计算正确。同样，如果出现多付[许可费结转未来许可费]或少付[支付差额加利息，如上]，通常也会有规定来处理这种情况。 20. Verifying accounts 20. 验证账目 The licensor is commonly given the right to inspect the licensee’s accounts to check they are correct. The licensee must make available all relevant paperwork. Commonly the licensor may not do the inspection himself, to stop him learning the licensee’s trade secrets, and must pay an independent accountant to do the inspection. If the inspection reveals a discrepancy the over or under payment is corrected [see “accounts” above]. Commonly if the inspection reveals a discrepancy of more than, perhaps 5%, in the figures due the licensee must pay the accountant’s fees. 许可人通常有权检查被许可人的账户以检查其是否正确。被许可人必须提供所有相关文件。通常许可人不得自行检查，以阻止其了解被许可人的商业秘密，必须聘请独立会计师进行检查。如果检查发现有差异，则纠正多付或少付[见上面的“账户”]。通常，如果检查发现应得的数字存在超过 5% 的差异，则被许可人必须支付会计师费用。 21.Termination 21.终止 By the running of time 随着时间的流逝 The licence agreement will need to come to an end at some time. If there are IP rights with a particular life, such as patents, the licence will usually expire when the last of the patents licensed under the original licence comes to an end. If the rights have no natural life, such as know-how or trade marks, or a very long life, such as copyrights, there will need to be either a fixed expiry date for the licence or some way in which the licence can be ended by notice. 许可协议需要在某个时间结束。如果存在具有特定寿命的知识产权，例如专利，则许可通常会在原始许可下许可的最后一项专利到期时到期。如果权利没有自然寿命，例如专有技术或商标，或寿命很长，例如版权，则需要有固定的许可到期日或可以终止许可的某种方式通过通知。 [Note that there are rules under competition laws to prevent overlong licences. The life of the licence needs to be discussed with your advisors. And see “Life of the licence” above.] [请注意，竞争法中有一些规则可以防止许可期过长。许可的有效期需要与您的顾问讨论。并参见上面的“许可证有效期”。] On breach 违约 If there is a breach of the licence terms by one party, the other is commonly allowed to bring the licence to an end. Such termination may only be possible for a serious breach [which may give rise to argument as to whether or not a particular breach is serious] or for repeated breaches of the agreement. 如果一方违反许可条款，通常允许另一方终止许可。这种终止可能只有在严重违约[这可能会引起关于特定违约是否严重的争论]或反复违反协议的情况下才有可能。 Unless the breach cannot be put right, when notice of termination can be given straightaway, the common procedure is for the other party, the party not in breach, to give notice specifying the breach and saying that if the breach is not put right within the period specified in the agreement, commonly thirty days, the other party will give notice of termination. 除非违约不能纠正，当终止通知可以立即发出时，通常的程序是由另一方（未违约的一方）发出通知，指明违约并说明如果违约未在协议约定的期限内纠正，一般为三十天，另一方将发出终止通知。 There will usually be a period from the date of service of a notice of termination before it is effective, again commonly thirty days. This allows the licensee a chance to stop his business in an orderly way. 从终止通知的送达之日起通常会有一段时间，然后才会生效，通常也是三十天。这使被许可人有机会以有序的方式停止其业务。 22.Consequences of termination 22.终止的后果 By the running of time 随着时间的流逝 Commonly the licensor and licensee can continue to use the IP they have already received. However if a trade mark has been licensed, on termination the licensee will have to stop using the mark or marks. 通常，许可人和被许可人可以继续使用他们已经收到的知识产权。但是，如果商标已获得许可，则在终止时，被许可人将不得不停止使用该商标。 On breach 违约 The licence will come to an end, the licensee must stop operating under the licence and must return to the licensor any material related to the licence that he holds. The licensee maybe allowed to sell existing stock, but must pay royalty on it. 许可将终止，被许可人必须停止在许可下运营，并且必须将其持有的与许可相关的任何材料返还给许可人。被许可人可以出售现有存量，但必须支付许可费。 23. Service of notices 23. 通知送达 A provision saying how notices can be given. Preferably they should be in writing, so that there is no argument as to what was in the notice. 说明如何发出通知的条款。最好是书面形式，以便对通知中的内容没有争论。 The methods of giving notice should be set out. Commonly by post, by fax or by e-mail. Sometimes specific types of post, first class or recorded delivery post, must be used. 应规定发出通知的方法。通常通过邮寄、传真或电子邮件。有时必须使用特定类型的邮件，头等邮件或邮局挂号投递邮件。 The date when the notice is deemed to be served should be laid down as it is from the date of service that time periods will run. 通知被视为送达的日期应规定为自送达之日起计算时间段。 24. Law and Courts/ADR 24. 法律和法院/ADR There will often be a provision stating which law applies and to which courts any dispute may be taken or whether some form of alternative dispute resolution (ADR) is to be used. 通常会有一条规定，说明适用什么法律，可以向哪个法院提起任何争议，或者是否要使用某种形式的替代性争议解决机制 (ADR)。 25. Execution provisions and schedules 25. 实施条款和明细表 These will be at the end of the licence. 这些将在许可协议的末尾。 -End- |
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