知识产权创新 和知识产权基础设施 将创新转化为优势的知识产权解决方案 Saif Aziz – 技术联盟总监 IBM大中华区 1

议程 什么是知识产权服务基础设施 简介 创新和知识产权基础设施潜力 动机 知识产权管理 “知识产权市场的优化增长” 知识产权市场的服务基础设施 什么是知识产权服务基础设施 简介 动机 知识产权管理 创新和知识产权基础设施潜力

什么是知识产权服务基础设施 一种包含了流程和工具的策略性基础设施，帮助企业释放全球 创新网络的力量，并使知识产权的价值最大化 一种包含了流程和工具的策略性基础设施，帮助企业释放全球 创新网络的力量，并使知识产权的价值最大化 为决策者提供知识产权组合的全面视野 让员工参与发明过程 一项服务基础设施通常提供 企业可用以确定和实施其知识产权战略的专有知识和工具 帮助企业领导者评估其现有的知识产权组合，包括 专利、商标、服务标识、商业秘密、版权、域名和出版物 帮助企业找出差距和风险，以调整未来的发明活动 提高企业知识产权组合的质量和价值 一种工具、流程和程序的组合，以整合最佳实践和管理整个知识产权生命周期

IP 简介 - 不断变化的商业环境 首席执行官在业务上的当务之急：“创新驱动增长” 一种新的知识产权市场和经济正在兴起 想法已变成产品 关于想法的竞争加剧 强大的全球知识产权体系鼓励创新 IP 知识经济 创新 知识为基础的经济依靠知识产权的创新和创造 4

简介 - 对经济增长和市场极为重要的知识产权 美国对无形资产的投资 (>1万亿美元/年) 超过对有形资产的投资 “知识产权是美国经济的脊梁” 美国商务部长 卡洛斯·古铁雷斯 Tangibles 日本打算“带来一个建立在知识产权基础上的国家” 日本首相 小泉纯一郎 GDP 比例 Intangibles “未来世界的竞争是知识产权的竞争” 中国总理 温家宝 New industries like financial services Universities: how do I manage International R&D 有形资产 无形资产 现代企业价值的约80%来源于无形资产 来源：美国联邦储备系统 – 中村，内德·戴维斯研究公司 5 5

简介 - 想法的新来源 如今，创新的来源内外部一样多 – 使知识产权管理和利用变得复杂 外部创新来源 内部创新来源 商业合作伙伴 员工 客户 销售或服务单位 顾问 研发 (内部) 竞争对手 其他 P&G…connect and develop 协会、贸易组织、联盟委员会 智库 学术界 互联网、博客、布告栏 45% 35% 25% 15% 5% 5% 15% 25% 35% 45% 来源：IBM全球首席执行官研究（2006年） 6

简介 - 创新模式 自主创新 开放创新 X公司 自主开放的共同基金 优势： 产品独特性 加快进入市场 优势： 减少成本 供应商的选择 分化 标准化 X公司

知识产权 简介 – 运用知识产权 收入/ 企业价值 收入/成本节约 保护 社会 X-许可 产品 许可 并购 解决方案 资产转让 服务 建立标准 X-许可 产品 许可 并购 裁减 解决方案 资产转让 竞争优势 转让 服务 知识产权 联盟/JD 影响 行动自由 技术领导地位 知识产权政策 商誉 监管影响 质量计划 开放创新 诉讼 开放标准 保护 社会 8

创新和知识产权基础设施潜力 创新和知识产权基础设施 联合发明者、法律和业务团队 跨地域管理知识产权 从全球资源获得知识产权 分析专利价值 Innovation and IP Infrastructure Capabilities It is a central source that unites the key stakeholders in the invention process – the inventors, the legal team and the business leaders. IBM operates in 170 countries and we’ve been using WPST to manage the IP we generate in all those countries, as well as where we file for patent protection. It has built in capabilities to analyze the value of patents. Our team constantly tracks all elements of the IP portfolio – from the pipeline of new incoming disclosures to the productivity of different divisions to the active portfolio for a particular technology area to potential monetization opportunities. 跟踪商业化机会 监控创新绩效 9

知识产权管理框架 不仅仅管理一堆专利 了解企业目标 一项团队运动 一个移动的目标 考虑知识产权生命周期的各个方面 企业需要从其专利组合中得到什么？ 为何及如何产生发明？ 哪些行业最为相关？ 市场战略是什么？ 竞争对手是谁？ 一项团队运动 要求企业各个部分的积极参与 一个移动的目标 要求不断细化和发展 发明管理对于企业来说是创造和利用知识产权的关键。这需要一个战略、计划和一项基础设施来支持该倡议

知识产权管理框架 知识产权战略： 专利全局分析： 知识产权评估： 知识产权外逃： 国际扩张： 建立将组织战略目标与技术界的知识产权产生活动相调整和整合的框架 将研发精力集中于服务不足、高潜力的市场机会 专利全局分析： 评估全局，并提供智能化管理有限资源的见解和方法 确定可取得专利标的的新舞台 对技术界进行非传统的可取得专利标的及取得方法的教育 知识产权评估： 找出专利组合中的差距和风险 概括弥合差距的最佳实践 知识产权外逃： 最大限度地减少分散的研发环境内的外逃 确定取得和保留知识产权的方法 国际扩张： 确定知识产权扩张到全球市场的风险和机会 确定在外国市场保护知识产权的最佳实践

运用知识产权的战略设计过程 计划 创造 运用 组织/知识产权评 估 制定知识产权战略 改变管理 实现创新文化 制定知识产权政策 推动和保持创 新 知识产权生命 周期管理 知识产权评估 保护机制 监控绩效 市场份额扩大 竞争优势 知识产权估值和 许可 影响和商誉 标准和开放创新 12

行动计划范例 – 教育和服务 计划 创造 运用 奠定基础 构建能力 完善能力 执行知识产权战略 知识产权执法 知识产权估值 知识产权评估和审核 运用知识产权工具 知识产权商业化 许可 知识产权全局 / SWOT分析 构建知识 产权组合 发明审查 委员会 知识产权商业模式 知识产权 推广和营销 建立一个知识 产权组织 知识产权 组合管理 发明评估 风险缓解 使投资回报 率最大化 Component Business Model Best practices from our own business… This is a methodology developed by IBM which has proven to be effective in: designing/re-designing organizations, making important management decisions, and guiding reengineering processes. It has been successfully deployed both within IBM and with our clients. The CBM will help us operationalize and build modules around each component. A CBM represents the architecture of a business. The columns divide the business by Capability (e.g. They answer the question: “What do we need to be good at?) and the rows divide the business by Operational Level: Direct = the strategic level, Control = the management level, Execute = the processing level At the intersection of the columns and rows are the Components- the building blocks of the business. Each component represents a set of activities that deliver a service within the overall business. Within each component, critical information about operationalizing that business competency are captured including: Business Purpose, Activities, Resources, Key Performance Indicators Performance Metrics Walk through CBM columns…. 制定知识产权战略 发明者激励措施 宣传计划 开放创新 竞争优势 知识产权政策 季度性发明发掘/头脑风暴会议 知识产权认识 和培训 目标和指标：衡量、监控、调整 13

IBM之有效的知识产权运用最佳实践： 完全的业务和文化融合 集中的知识产权管理 进攻性和防御性知识产权战略 积极性对反应性 连续的绩效衡量和必要的调整 带有问责制的目标 特殊的知识产权预算 数据和分析工具 成文的政策和程序 知识产权专长 继续教育和沟通 激励措施 – 内在和外在 IBM全球业务单位 知识 产权 研发和商业 合作伙伴 企业和法律 Corporate and Legal comprises: Portfolio Managers IP Law HR Finance Executives – all the way up to the CEO and the board of directors Contracts Extended teams including: virtual law firm, outside counsel, admins andparalegals. Research and business partners includes: R&D Inventors DE’s and fellows IDTs Master Inventors JDAs and alliances Partnerships with others The Business: Products and services SWG, STG, RES, S&D, T&P, GBS

知识产权创新和解决方案 设置为解决企业需求而定制的知识产权战略服务、教育和软件工具 在IBM 专家 服务专家 在IBM 知识产权专家与客户和商业合作伙伴合作， 以提供IBM最佳实践的第一手知识 服务专家与客户合作，以实施知识产权解决 方案和执行知识产权战略 一系列构建、保持和建立知识产权潜力的第 三方及专属软件和工具 'IBM is now offering tools and services to assist clients/partners in managing IP for competitive advantage by enabling both offensive and defensive strategies that align with your business initiatives. Among other things we can help with promoting freedom to operate, the generation of new income streams, sales enablement, and disciplined R&D programs. In short, IBM can help you extend the role of IP management from the Chief Counsel's office to the rest of the C-suite. ' Helped a government research organization go from 2 patent applications to 20 and create a pipeline of over 50 inventions in less than 2 years Brought IP management and strategy expertise to start-up companies in a developing country so they could begin to effectively compete in the global market and begin to build portfolios desired by potential acquirers Built an Innovation Center of Excellence within an Eastern European country to create a venue for commercializing its high-tech capabilities and support partnerships with global companies and organizations Enabled a fortune 100 company to save hundreds of thousands of dollars by teaching them to better assess their portfolio by aligning it with their true business needs and establish internal processes for ensuring quality portfolio management 15

知识产权商业周期和生命周期受众 创新和获取 管理和商业化 分析和调整 发明者 知识产权专业人士 执行人员 IBM IP Business Cycle When you decompose the lifecycle of the intellectual property business, it breaks down into three main categories: Innovate and Capture where you are harvesting the best ideas from your employees and ensuring the pipeline of new invention disclosures will meet your long-term business needs. Manage and Monetize, which focuses on taking all the IP from the entire organization and extracting the maximum value from it and finally Analyze and Adjust, this is a constant process and you have to have enough agility in your infrastructure to adjust to changing market dynamics and ensure your inventor community knows where to focus their efforts. We continue to refine this process and apply best practices from individual groups to the broader system. The tools we use have become much more sophisticated as they incorporate analytic capabilities and competitive insight and link more tightly with the business strategy to give us headlights into the future so we can proactively adjust before something becomes a problem. Additional details on each phase, probably don’t need to elaborate here… Innovate and Capture IBM obviously has a large infrastructure devoted to capturing our inventions. And by infrastructure I mean both the teams that manage the invention process as well as the tools they use. The core team for invention is our employees. We have 250,000 technical people around the world and an additional 150,000 non-technical employees who also participate in the invention process. This is an important point, it’s not just people in the labs doing the inventing – we encourage all employees to invent or to work with their technical counterparts to convert their idea into a patent. You never know where the next great idea will originate. We have several levels of distinction amongst our technical community to recognize prolific inventors. But we don’t passively wait for the inventions. We have a team of IP experts that identify a “needs list” and work with the inventors to generate new IP in specific technology areas. If we need additional IP in nanotubes for example, this team will assemble the various domain experts we have across the company and brainstorm with them until we have the ideas we need. The gatekeepers to the entire invention process are the folks on the invention review boards, and we have hundreds of IRBs across our divisions and sites. These teams review all incoming invention disclosures and decide which ones we pursue as patents vs. trade secrets vs. publish. Getting the right mix of people on these teams is very important since they are often the point of contact for the inventors. Part of their job is mentoring their local inventor community and encouraging them to invent. Most of these IRBs have at least one representative from IP Law to reality check that an idea meets the legal requirements for patentability. IBM is granted ~5,000 patents every year, and that means we sift through two to three to four times that many disclosures to get the best, most valuable, highest quality ideas. The tool we use to manage that volume is called the Innovation and IP Infrastructure. It includes both a front-end interface for the inventors to submit and track their disclosures, as well as the back-end infrastructure to manage all the disclosures and issued patents. Our inventors are very vocal about what they want it to include and it has been refined over the years. Conversely, management is also rather opinionated about the detail, the analysis, and the headlights they want so it includes the best thinking from the management perspective as well. This has been a Lotus Notes-based product used internally for years and we’re in the process now of porting it to a Web platform so we can share it with certain clients. Manage and Monetize That back-end management component is also used by the teams responsible for managing and monetizing our portfolio. As Kevin said, there are many ways to extract value from your IP portfolio in terms of superior products and freedom of action and industry influence. Focusing on the pure IP income aspects, we’re really talking about three key teams that work in tandem with the broader invention ecosystem. The first is the portfolio manager, they ensure we have the right mix of patents in each geography. They have to balance budget realities with the local IP and competitive environment in each patent jurisdiction. The business development executives are basically the sales team for IP. They’re really selling a mix of our patents, or access to our know how and our domain experts. As Kevin showed, the mix of our IP income is sifting to more joint development so we aren’t assigning as many patents today as we are allowing them to work alongside our experts and licensing companies to our portfolio. The BDEs work very closely with the patent engineering team. Together, they identify the licensing targets. Which companies are infringing on IBM’s IP and which ones make the most sense to pursue. There are many different ways we can engage with these other companies. If a company doesn’t accept that they need to take a license, the patent engineers essentially provide the BDEs the leverage they need to close the deal. They outline how the competitor’s product infringes on IBM’s IP and the extent of the infringement. IBM very very rarely goes to court over patent infringement, it’s simply not our strategy, not really our culture. A key reason we don’t HAVE to is because the depth of evidence the patent engineers provide is sufficient to get a fair license. We have developed several tools in addition to 3i to support these teams. PPKI and the Patent Engineering Portal focus on systematic analysis of our portfolio to make educated decisions on which patents to assign, to let lapse and stop paying the maintenance fee, and which ones have the most value for licensing. We call these ‘hero’ patents. Part of that knowledge comes from understanding the competitive landscape. What IP holes exist in the market where we should develop additional IP or license the IP we have? Who is exposed and needs the protection a license to IBM’s IP can provide? Competitive insight is also critical for the next phase of the lifecycle, analyze and adjust. Analyze and Adjust This phase is driven by IBM’s management team to ensure the IP portfolio meets our long-range goals. Corporate strategy is a key component of this as they set that long-range direction. They work with the product lines to determine where the technology is headed, where client expectations are headed, and how IBM can best meet those needs. Organizationally, the IPAC owns the overall IP program. It is comprised of the senior vice presidents representing the IBM divisions and they approve the overarching direction of the program, the budget, the allocations – which technology areas will have the most patents, etc. The CIL is the integration point between the inventor community and the business needs. As a company, we have been lowering the center of gravity and empowering the people on the front lines to make the decisions. The CIL is a group of technical leaders from across the company that develops and implements the IP strategy. They are embedded in the inventor communities and are focused on energizing the inventors and providing them the knowledge they need to be successful. And this is where the adjustment aspect comes into play. Inventors fundamentally want to patent in areas that are important to the company. They want to invent products that will be successful in the market and solve a problem for our clients. But that can change at any moment. A crisis can shift clients priorities to safety and security, a recession can shift their focus to cost savings, new regulations can change product requirements. We can’t predict the future, but a systematic approach to IP management can empower you to rapidly respond to and capitalize on whatever the future does bring. 16

发明者界面 发明者活动的可定制快照 让全体员工参与知识产权过程 通过披露表提交新发明 监控所提交披露的进展情况 跟踪现有专利和出版物 发明者界面 发明者活动的可定制快照 让全体员工参与知识产权过程 通过披露表提交新发明 监控所提交披露的进展情况 跟踪现有专利和出版物 记录收到的激励措施和里程碑 为知识产权历史编目录 发明者 Inventor Interface This front end for the inventors is designed to engage inventors directly in the IP development and protection process. The platform helps inventors create at their own pace, for example, they can quickly create draft invention disclosures, catalog ideas, and collaborate with peers on the most promising ideas. This flexible platform was designed to support multiple document formats, so inventors can draft their ideas in their preferred word processing format, or the standard template specified by the company. Once inventions disclosures are submitted, inventors can monitor their progress throughout the review and prosecution process. Enhancements planned for future 3i versions include allowing inventors to monitor their overall invention profile – including their existing patents and publications, pending applications, awards, milestones, and other inventor incentives provided by the company. They will also be able to search other disclosures to identify other inventors working on similar technologies. 17

发明者界面 激励措施和奖励 预申请 授予后 分区和企业奖励 发明者 Inventor Interface 发明者界面 激励措施和奖励 预申请 授予后 分区和企业奖励 发明者 Inventor Interface This front end for the inventors is designed to engage inventors directly in the IP development and protection process. The platform helps inventors create at their own pace, for example, they can quickly create draft invention disclosures, catalog ideas, and collaborate with peers on the most promising ideas. This flexible platform was designed to support multiple document formats, so inventors can draft their ideas in their preferred word processing format, or the standard template specified by the company. Once inventions disclosures are submitted, inventors can monitor their progress throughout the review and prosecution process. Enhancements planned for future 3i versions include allowing inventors to monitor their overall invention profile – including their existing patents and publications, pending applications, awards, milestones, and other inventor incentives provided by the company. They will also be able to search other disclosures to identify other inventors working on similar technologies. 18

知识产权专业人士界面 评估者界面简化了操作 引导和加快披露评估过程的自动化工作流程 自动披露转让 行动项目提示 截止提醒 访问充分披露，以进行审查和评估 系统的发明估值打分 多个审查小组一致决策 快速调整，以将得分划界作为预算变化提交 许可和外国申请决定的下游使用 知识产权专业人士 Evaluator Interface Several customizable interfaces are available for the various IP teams, including reviewers, IP administrators, portfolio managers, internal legal teams, and outside counsel and technical writers – the specific information these specialized contributors need is available at a glance. And automated workflows help the IP team streamline the prosecution process. The prosecution process begins with disclosure evaluations. 3i routes new disclosures to the appropriate review team, as determined by the company. The evaluator interface helps the review teams manage their incoming disclosures, and offers the relevant information associated with the disclosure. It Incorporates practices developed at IBM with an evaluation questionnaire and scoring system that allows review teams dispersed throughout the organization to consistently assess the quality and value of invention disclosures. 19

知识产权专业人士界面 组合经理的界面跟踪知识产权生命周期 管理起诉的所有方面 专利 版权和商标注册 商业秘密 防御性出版物 跟踪到生命的尽头 – 转让、到期等 用风险管理工具简化流程 提醒所有必要的各方行动项目、期限 管理所有与知识产权相关的合同和文书 监控现有知识产权，以供快速组合分析 知识产权专业人士 Portfolio Manager Interface Additional interfaces help other members of the IP team manage the various aspects of the IP lifecycle, including docketing, patent preparation, filing, maintenance, contracts, assignment, licensing, expiration, and managing the overall IP budget. Suggested milestones for each of these functions are outlined, assigned, and given due dates to help maximize efficiency throughout the entire process. 20

执行仪表板 灵活报告关键业务指标 渠道强度 组合健康度 知识产权业务强度 业务单位 技术 地点 转化为应用/专利的比率 在必要的国家/专利司法管辖区的知识产权 适当保护所有产品 与业务目标相一致 知识产权业务强度 预算调整 许可渠道和收入 执行人员 Executive Dashboard 3i provides decision makers the information they need to analyze the overall health of the IP portfolio, and determine how well it aligns with the company’s goals. Snapshots of the IP portfolio help executives maintain appropriate levels of IP protection for products and services, identify possible exposures, balance the international portfolio, maximize emerging opportunities, optimize licensing and other income potential, and mitigate competitive threats. Future versions of 3i will advance its strategic capabilities. Additional functionality will help research and development leaders identify optimal collaboration teams, minimize IP leakage, track competitor IP activities, and map internal development efforts to the most valuable product areas. 3i provides executives a high level view of their company’s entire intellectual property lifecycle. It provides the data which facilitates them making fact-based decisions that improve the business value of their innovations and maximize their return on investment. 21

IBM知识产权领导地位 IBM - 100年的创新领导地位 世界排名最前的品牌之一 - 2010年收入999亿美元 连续18年美国专利的领导地位 – 2010年有5896项 每年知识产权收入10亿美元以上 全球技术界25万家企业的创新文化典范 美国知识产权政策的领导者 全面的流程和工具简化了知识产权管理 22

IBM美国专利领导地位 IBM US Patent Leadership And we have protected our innovations throughout the decades with a strong patent portfolio. I mentioned our patent leadership earlier, this demonstrates our continued growth in terms of patents. We continue to break records year after year. 23

谢谢！ 24