1、BSI Standards PublicationInnovation managementPart 4: Intellectual property managementPD CEN/TS 16555-4:2014National forewordThis Published Document is the UK implementation of CEN/TS 16555-4:2014.The UK participation in its preparation was entrusted to TechnicalCommittee IMS/1, Innovation managemen
2、t.A list of organizations represented on this committee can be obtained onrequest to its secretary.This publication does not purport to include all the necessary provisions ofa contract. Users are responsible for its correct application. The British Standards Institution 2015.Published by BSI Standa
3、rds Limited 2015ISBN 978 0 580 86326 4ICS 03.100.40; 03.100.50; 03.140 Compliance with a British Standard cannot confer immunity fromlegal obligations.This Published Document was published under the authority of theStandards Policy and Strategy Committee on 31 January 2015. Amendments/corrigenda iss
4、ued since publicationDate Text affectedPUBLISHED DOCUMENTPD CEN/TS 16555-4:2014TECHNICAL SPECIFICATION SPCIFICATION TECHNIQUE TECHNISCHE SPEZIFIKATION CEN/TS 16555-4 December 2014 ICS 03.100.40; 03.100.50; 03.140 English Version Innovation management - Part 4: Intellectual property management Manage
5、ment de linnovation - Partie 4 : Management de la proprit intellectuelle Innovationsmanagement - Teil 4: Management des geistigen Eigentums This Technical Specification (CEN/TS) was approved by CEN on 27 October 2014 for provisional application. The period of validity of this CEN/TS is limited initi
6、ally to three years. After two years the members of CEN will be requested to submit their comments, particularly on the question whether the CEN/TS can be converted into a European Standard. CEN members are required to announce the existence of this CEN/TS in the same way as for an EN and to make th
7、e CEN/TS available promptly at national level in an appropriate form. It is permissible to keep conflicting national standards in force (in parallel to the CEN/TS) until the final decision about the possible conversion of the CEN/TS into an EN is reached. CEN members are the national standards bodie
8、s of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spa
9、in, Sweden, Switzerland, Turkey and United Kingdom. EUROPEAN COMMITTEE FOR STANDARDIZATION COMIT EUROPEN DE NORMALISATION EUROPISCHES KOMITEE FR NORMUNG CEN-CENELEC Management Centre: Avenue Marnix 17, B-1000 Brussels 2014 CEN All rights of exploitation in any form and by any means reserved worldwid
10、e for CEN national Members. Ref. No. CEN/TS 16555-4:2014 ECEN/TS 16555-4:2014 (E) 2 Contents Page Foreword 3 Introduction .4 1 Scope 5 2 Normative references 5 3 Terms and definitions .5 4 Concept and purpose of intellectual property management 6 5 The intellectual property strategy 8 5.1 The role o
11、f top management .8 5.2 Interactions with various functions .9 5.3 Competences and skills requirements . 10 5.4 Budget and cost control 11 5.5 Communication . 11 6 Implementation of the IP strategy . 12 6.1 Traceability 12 6.2 IP decision making . 12 6.3 Strategic intelligence and risk management .
12、13 6.4 IPR portfolio development, management and exploitation 14 6.4.1 Structuring IPR portfolio 14 6.4.2 Analysis of the potential IPR . 14 6.4.3 Intellectual property exploitation 15 6.4.4 Acquisition, sale, concession and licensing (-in and -out) of third parties IP rights 16 Annex A (informative
13、) Authenticated documentation to record IP . 17 Annex B (informative) Innovation and invention disclosure . 18 Annex C (normative) Methods and criteria for the assessment of IP rights 19 C.1 Objectives and principles 19 C.2 Strategic criteria 20 C.3 Qualitative criteria. 22 C.4 Quantitative criteria
14、 23 Annex D (informative) IP and standardization . 26 D.1 General . 26 D.2 Various strategies of the organization relayed by intellectual property . 27 Annex E (informative) Intellectual property management in a collaborative environment 28 E.1 Introduction . 28 E.2 Definition . 28 E.3 Scope of coll
15、aborative contexts 29 E.4 Different types of collaboration in the innovation process 29 E.5 Legal . 30 E.6 Collaboration to create; impact of financing sources on IP ownership, assignment . 31 E.7 General best practices to comply with . 31 Bibliography . 33 PD CEN/TS 16555-4:2014CEN/TS 16555-4:2014
16、(E) 3 Foreword This document (CEN/TS 16555-4:2014) has been prepared by Technical Committee CEN/TC 389 “Innovation Management”, the secretariat of which is held by AENOR. Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. CEN and/or
17、CENELEC shall not be held responsible for identifying any or all such patent rights. This document is not intended for the purpose of certification. The CEN/TS 16555 series consists of the following parts with the general title Innovation management: Part 1: Innovation Management System; Part 2: Str
18、ategic intelligence management; Part 3: Innovation thinking; Part 4: Intellectual property management; Part 5: Collaboration management; Part 6: Creativity management; Part 7: Innovation management assessment. Part 7 is in preparation. According to the CEN-CENELEC Internal Regulations, the national
19、standards organizations of the following countries are bound to announce this Technical Specification: Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lit
20、huania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and the United Kingdom. PD CEN/TS 16555-4:2014CEN/TS 16555-4:2014 (E) 4 Introduction This Technical Specification CEN/TS 16555-4 is linked to CEN/TS 16555-1:2013 (especia
21、lly to CEN/TS 16555-1:2013, 11.4). The effective management of intellectual property, developed as a lever and a tool to support the process of innovation, is a necessary prerequisite for organizations development, growth and protection of their competitiveness. Intellectual property management thus
22、 supports, gives rise to and enhances outcomes of the innovation process. Intellectual property management includes observation and analysis of third parties intellectual property, for instance, for the purpose of achieving freedom to operate for an organizations products. In order to adequately add
23、ress intellectual property management, the organization should consider the following: intellectual property strategy, as an integral part of the organizations business strategy; intellectual property strategy, as an integral part of innovation management strategy; the safeguarding of the potential
24、intellectual property throughout the entire organization; methods used to manage and use intellectual property as a support of business strategy, for example traceability, protection); applicable legislation in the territories or regions under consideration; costs of obtaining and maintaining intell
25、ectual property and possible enforcement costs which could ensue; differences in the contribution of various public authorities to acquiring IP rights and promoting practices throughout the world; methods of protecting know-how, where appropriate. In this Technical Specification, the terms intellect
26、ual property and intellectual property rights are precisely defined, and are given a broad and general definition in Clause 3. PD CEN/TS 16555-4:2014CEN/TS 16555-4:2014 (E) 5 1 Scope This Technical Specification provides guidance to assist an organization to identify, capture, and safeguard intellec
27、tual property, in order to: provide organizations with an overview of the fundamental principles of intellectual property management, in the context of the innovation process; promote best practices in intellectual property matters that result in efficiently acquiring intellectual property, while in
28、creasing the organizations ability to effectively address intellectual property owned by third parties. This Technical Specification is applicable to all types of organization, including the public sector. Special consideration has been given to the needs of SMEs. 2 Normative references Not applicab
29、le. 3 Terms and definitions For the purposes of this document, the following terms and definitions apply. 3.1 background pre-existing IP that a party brings to a collaborative joint venture 3.2 foreground intellectual property and/or intellectual property rights that are collectively generated by th
30、e one or more of parties within a collaborative joint venture 3.3 freedom to operate state wherein a product or service is not exposed to IP other than own IPR or licensed-in IPR 3.4 intellectual property (IP) part of intellectual assets owned by a person or organization as a result of creations of
31、the mind or the intellect Note 1 to entry: Intellectual property can be either registered (i.e. statutory) or unregistered (i.e. non statutory or owned by default without any specific registration action). 3.5 intellectual property rights (IPR) legally protected intellectual property which can be re
32、gistered and unregistered 3.6 side ground IP that may be generated by a party during the period of the collaborative joint venture, but specifically excluded from the scope of the joint venture PD CEN/TS 16555-4:2014CEN/TS 16555-4:2014 (E) 6 4 Concept and purpose of intellectual property management
33、IP management involves identifying, tracing along time, deciding on publishing and potentially safeguarding IP on an individual IP level. IP to be managed includes technical inventions, trademarks, software, know-how, etc. Core aspects of IP management are: identifying and managing IP created within
34、 the organization; identifying IP held by other organizations; managing the organizations IP rights portfolio through the discovery, acquisition, maintenance, trading and relinquishing of IP rights (see 6.4); identifying, mitigating and managing risks emerging from other organizations IP rights and
35、determining level of freedom to operate for innovation created by the innovation process. An innovation created by the innovation process may achieve a high level of freedom to operate or may, by hedging against risks from other organizations, create legal risks for them; supporting the innovation p
36、rocess and safeguarding results emerging from it. The organization should begin the IP management process by identifying and tracing IP, then making management decisions as to how to deal with such identified IP. These decisions depend of the type of IP. IP management should take appropriate measure
37、s to secure confidentiality with respect to otherwise unprotected IP such as know-how, invention disclosure, trade secret, or yet unfiled patent applications. Intellectual property can be protected by a variety of legal rights. Some IP rights come into existence automatically (e.g. copyright), some
38、need to be registered (e.g. patents), and for some registration is an option which can provide additional benefits (e.g. trademarks). In some cases there are strict criteria and dates which should be adhered to. This applies particularly to patents (for technical inventions), where premature public
39、disclosure, or failing to meet deadline dates can invalidate the protection. Since IP rights can vary between jurisdictions, it is important to check the rules in the countries where protection is required. In all cases, it is important to be able to provide evidence of creation, in case challenged.
40、 In practice this means that evidence, legally acceptable in a court of law, should be kept to prove date of creation, contributors and their relative contributions. For technical inventions: keeping IP proprietary by means of confidentiality or by means of legal protection; making IP public to ensu
41、re the IP remains publicly available and cannot be protected by others; documentation and register maintenance of use of IP; NOTE See Annex A. registering of or licensing-in of other organizations IP rights to achieve freedom to operate; licensing-out the organizations IP; challenging other organiza
42、tions IP rights to achieve freedom to operate. PD CEN/TS 16555-4:2014CEN/TS 16555-4:2014 (E) 7 For trademarks: acquisition of trademarks; observing use of organizations trademarks; observing other organizations trademark activities; challenging other organizations trademark IP rights if they conflic
43、t. For copyrights including software: documentation of creation and use of copyright-protectable creations such as printed publications, software, etc. For designs: application of design rights and patents; observing other organizations design protection activities; acquisition of or licensing-in ot
44、her organizations design rights and patents to achieve freedom to operate; invalidating other organizations design rights and patents to achieve freedom to operate. The organization should refer to 6.2 and Figure 1 below for criteria to be applied in IP decision making. Figure 1 IP decision tree The
45、 IP rights portfolio management should be customized to suit the particular product field, the level of collaborative activity and the protection required in each territory (see 6.4). The IP management process should continuously monitor and be administratively interlinked with the innovation proces
46、s (see Figure 2). PD CEN/TS 16555-4:2014CEN/TS 16555-4:2014 (E) 8 Figure 2 Interaction of IP in the innovation process The purpose of IP management is to support the innovation strategy (see CEN/TS 16555-1) and to safeguard results emerging from it. IP management is the management of an organization
47、s IP assets to support organizations innovation and growth. This also involves the management of any legal rights associated with the IP, which includes obtaining the legal protection and enforcing it as appropriate. An innovation created by the innovation process may either provide a positive outco
48、me with freedom to operate or a negative outcome where infringement is likely on IP which is the property of another organization. Even the IP relative to this innovation may protect against risks from such other organizations by creating legal risks for them in return. 5 The intellectual property s
49、trategy 5.1 The role of top management The organization should have an intellectual property strategy. The organization should include IP as a consistent component of its innovation management strategy and likewise of the organizations business strategy. In developing an IP strategy, the following should be considered: intellectual property as a guarantee of the organizations exclusive use of its own innovations (“freedom to operate”); intellectual property as a compet
