18. LICENSE AND EXCLUSIVITY COMPENSATION. 

 

18.1 Payments; Extension of Exclusivity Period.

(a) Upfront License Fee and Prepayment. Hospira shall within [*] after the Effective Date (and in any event, before December 30, 2011) pay to CyDex a non-refundable upfront license fee of $500,000, in consideration of the rights granted Hospira under this Agreement. In addition, Hospira shall within [*] after the Effective Date (and in any event, before December 30, 2011) pay to CyDex $2,500,000 by wire transfer as a one-time materials purchase prepayment usable only as a cumulative $2,500,000 credit toward future purchases of Captisol hereunder. Such credit shall be applied to the first $2,500,000 of Captisol purchased hereunder, until exhausted. In the event that this Agreement is terminated, then to the extent so provided in Section 11.4 CyDex shall immediately make a payment to Hospira in the amount of any such remaining prepayment credit.

 

(b) Extension of Exclusivity Period. To retain the benefits of having the Exclusivity Period remain in force for additional time, Hospira shall have the option to extend one or more times the expiration date of the Exclusivity Period. Not more than [*] before and not less than [*] before the Exclusivity Period would otherwise expire (taking into account any previous proper extension or extensions of the Exclusivity Period pursuant to this Section 4.1(b)), CyDex shall deliver to Hospira written notice that the Exclusivity Period is set to expire. Hospira may, in its sole discretion, extend the Exclusivity Period by making a non-refundable payment, by wire transfer, of $[*] to CyDex within [*] after the receipt of CyDex’s notice. Each such extension shall extend the erstwhile expiration date of the Exclusivity Period for [*] beyond when it would otherwise have expired. For avoidance of doubt: (i) such option to extend can be exercised in compliance with this Section 4.1(b) multiple times, but no extension can extend the Exclusivity Period beyond the end of the Term, (ii) if CyDex does not provide notice to Hospira at least [*] before the end of the then current term of the Exclusivity Period, the Exclusivity Period will automatically extend for [*] after Hospira’s receipt of any such notice and Hospira shall have the right to further extend the Exclusivity Period as set forth above by making the required payment within [*] after receipt of CyDex’s notice, and (iii) the Exclusivity Period cannot be resuscitated after it has expired or terminated.

 

18.3 Taxes. All amounts due hereunder exclude all applicable sales, use, and other taxes and duties, and Hospira will be responsible for payment of all such taxes (other than taxes based on CyDex’s income), arising from the payment of amounts due under this Agreement. The parties agree to cooperate with one another and use reasonable efforts to avoid or reduce tax withholding or similar obligations in respect of payments made by Hospira to CyDex under this Agreement. To the extent Hospira is required to deduct and withhold taxes on any payment to CyDex, Hospira shall pay the amounts of such taxes to the proper governmental authority in a timely manner and promptly transmit to CyDex official receipts issued by the appropriate taxing authority and/or an official tax certificate, or such other evidence as CyDex may reasonably request, to establish that such taxes have been paid. CyDex shall provide Hospira any tax forms that may be reasonably necessary in order for Hospira to not withhold tax or to withhold tax at a reduced rate under an applicable bilateral income tax treaty. CyDex shall use reasonable efforts to provide any such tax forms to Hospira at least [***] before the due date for any payment for which CyDex desires that Hospira apply a reduced withholding rate. Each party shall provide the other with reasonable assistance to enable the recovery, as permitted by applicable law, of withholding taxes, value added taxes, or similar obligations resulting from payments made under this Agreement, such recovery to be for the benefit of the party bearing such withholding tax or value added tax.

 

19. RECORDS; AUDIT. 

 

19.1 Records and Reports.

(a) Records. During the Term and for a period of [*], Hospira shall, and shall require its Affiliates to, maintain accurate records relating to Net Sales of the Finished Product.

 

(b) Reports. During the Term, Hospira shall provide CyDex with written a report that identifies whether each respective Section 4.1(c) milestone has been achieved.

 

19.2 Audit. Upon reasonable prior notice, such Section 5.1 records shall be available during regular business hours for examination and audit at the expense of CyDex by an independent certified public accountant selected by CyDex and reasonably acceptable to Hospira, for the sole purpose of verifying Net Sales. CyDex shall [*]. Such records may not be audited more often than [*] and the records for any period may not be audited more than once. During any audit, the scope of such audit shall only include, with respect to those items of deduction for which Hospira, under its then-current system, calculates using a fixed allocation system, a review of actual allocated deductions thereunder unless and until such time as Hospira has changed its system to reflect actual deductions for such category of deductions. In the event that Hospira begins tracking actual costs and deductions on a product by product basis generally (which it has no obligation to do hereunder), Hospira will implement such actual tracking for purposes of this Agreement in lieu of fixed allocation percentages and the calculation of such actual costs and deductions shall thereafter become subject to audit pursuant to this Section 5.2. All information learned in the course of any audit or inspection under this Section 5.2 shall be deemed to be Confidential Information of Hospira, subject to the terms and provisions of Section 7 below.

 

KASAN_기술이전, License, 생산위수탁 계약서에서 Royalty Payment 관련 영문계약 조항 샘플 –

 

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작성일시 : 2019. 5. 16. 13:00
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8. PAYMENT.

8.1 Initial Fee. In consideration of the license and sublicense granted by Licensor to Licensee in accordance with Sections 2.1 and 2.2, respectively, and the assignments by Licensor to Licensee in accordance with Section 2.3, Licensee shall pay to Licensor a one-time, nonrefundable, non-creditable initial fee of Fifty Million Dollars ($50,000,000) on the Effective Date. 

 

8.2 Milestone Payments. 

(a) Launch Milestone Payment. Licensee shall notify Licensor promptly of the date of the Noctiva Launch, but in no event later than twenty (20) days thereafter. In further consideration of the license and sublicense granted by Licensor to Licensee in accordance with Sections 2.1 and 2.2, respectively, and the assignments by Licensor to Licensee in accordance with Section 2.3, Licensee shall pay to Licensor a one-time, nonrefundable, non-creditable payment of Twenty Million Dollars ($20,000,000) in respect of such Noctiva Launch on the earlier to occur of: (i) the thirtieth (30th) day immediately following the date of the Noctiva Launch and (ii) June 30, 2018. Such payment shall not require Licensor to provide any invoice in respect thereof.

 

Tier One Commercialization Milestone Payments. Licensee shall notify Licensor promptly, but in no event later than thirty (30) days, after the first achievement of the relevant sales milestone for the Product as set forth in the table below in this Section 8.2(b). In further consideration of the license and sublicense granted by Licensor to Licensee in accordance with Sections 2.1 and 2.2, respectively, and the assignments by Licensor to Licensee in accordance with Section 2.3, Licensee shall make the following one-time, nonrefundable, non-creditable milestone payments to Licensor within thirty (30) days after receipt of an invoice from Licensor therefor.

 

(i) Upon the first time Royalty-Bearing Net Sales by Licensee and its Sublicensees of the Product for all Indications in the aggregate reach $50 million on a cumulative basis beginning with the first dollar of Royalty-Bearing Net Sales

 

(ii) Upon the first time Royalty-Bearing Net Sales by Licensee and its Sublicensees of the Product for all Indications in the aggregate reach $[*] on a cumulative basis beginning with the first dollar of Royalty-Bearing Net Sales

 

(iv) Upon the first time Royalty-Bearing Net Sales by Licensee and its Sublicensees of the Product for all Indications in the aggregate reach $200 million on a cumulative basis beginning with the first dollar of Royalty-Bearing Net Sales

 

(b) Tier Two Commercialization Milestone Payments. Licensee shall notify Licensor promptly, but in no event later than thirty (30) days, after the first achievement of the relevant sales milestone for the Product as set forth in the table below in this Section 8.2(c). In further consideration of the license and sublicense granted by Licensor to Licensee in accordance with Sections 2.1 and 2.2, respectively, [and the assignments by Licensor to Licensee in accordance with Section 2.3,] Licensee shall make the following one-time, nonrefundable, non-creditable milestone payments to Licensor within thirty (30) days after receipt of an invoice from Licensor therefor; provided, however, in the event that the last of the milestone payments described in the table below becomes payable, the due date for Licensee to make payment to Licensor of such milestone payment will be the first anniversary of the payment of the $[*] milestone payment in the penultimate row of the table below. 

 

(i) Upon the first time Royalty-Bearing Net Sales by Licensee and its Sublicensees of the Product for all Indications reach $300 million in any consecutive 12-month period beginning after achievement of milestone (iv) described in Section 8.2(b)

 

(ii) Upon the first time Royalty-Bearing Net Sales by Licensee and its Sublicensees of the Product for all Indications reach $ 1.5 billion in any consecutive 12-month period beginning after achievement of milestone (iv) described in Section 8.2(b)

 

(c) Change of Control Payment. If a Change of Control occurs, simultaneously with the consummation of such Change of Control, Licensee shall pay to Licensor the amount of [*] Dollars ($[*]) less the sum of the following allocable portions of any of the milestone payments described in Section 8.2(b) that are paid to Licensor prior to such Change of Control: 

 

8.3 Royalties; Non-Royalty Commercialization Consideration. 

(a) Royalties. In further consideration of the license and sublicense granted by Licensor to Licensee in accordance with Sections 2.1 and 2.2, respectively, Licensee shall pay Licensor royalties on Net Sales of the Product by Licensee and any of its Sublicensees and Third Party Distributors in accordance with the rates set forth in the tables set forth below in this Section 8.3(a)(i).

 

(b) Third Party Royalties. 

(i) CPEX and Reprise. Licensor will be responsible for payment of any amounts payable to CPEX and Reprise under the terms of the CPEX License Agreement and the Reprise License Agreement, respectively. 

 

(ii) Other Third Parties.

(A) In the event that after the Effective Date Licensee reasonably determines that it is necessary or advisable for Licensee to obtain a license under any Patent Rights from any Third Party in order for Licensee (each a “Third Party License”; collectively, “Third Party Licenses”), its Sublicensees, and any Third Party Distributors to Commercialize the Product in the Field in any country in the Territory as contemplated by this Agreement, the Parties shall discuss the best course of action to resolve such potential license requirement, provided that such discussions shall not limit or delay Licensee’s right to obtain any such Third Party Licenses.

 

(B) With respect to any such Third Party Licenses that Licensor reasonably agrees are necessary for Licensee to be able to Commercialize the Product in the Field in any country in the Territory, Licensee shall have the right to set off an amount equal to [*] percent ([*]%) of the aggregate of any and all payments required to be paid by Licensee to the licensors under such Third Party Licenses in respect of any Calendar Quarter against payments otherwise payable to Licensor under Section 8.3(a) in respect of such Calendar Quarter; provided, however, that in no event shall the aggregate set off in any Calendar Quarter resulting from such payments in respect of such Third Party Licenses exceed an amount equal to [*] percent ([*]%) of the royalty payments otherwise payable to Licensor under Section 8.3(a) in respect of such Calendar Quarter.

 

(c) Royalty Term. Licensee’s obligation under Sections 8.3(a) to pay Licensor royalties on Net Sales of the Product in each country in Territory will apply to any and all sales or other dispositions of such the Product in such country made during the Term of this Agreement. 

 

(d) Generic Product. If, during the Royalty Term, one or more Third Parties is selling in any country in the Territory any product that is a Generic Product in relation to the Product being sold in such country by Licensee or any of its Sublicensees or Third Party Distributors, Licensee’s royalty obligations under Section 8.3(a) for sales in such country of the Product shall be reduced as follows: 

 

If the Generic TRxs-to-Total TRxs Percentage in such country during such Calendar Quarter is: Licensee’s royalty obligations under Section 8.3(a) shall be reduced by the Percentage Indicated Below

 

8.4 Reports and Payments. During the Term of this Agreement following the First Commercial Sale of the Product by Licensee, its Sublicensees, or its Third Party Distributors, within five (5) Business Days after the filing by Licensee of each Form 10-K or Form 10-Q, Licensee shall pay to Licensor the royalty payments payable by Licensee for the Calendar Quarter preceding the Calendar Quarter in which such Form 10-K or 10-Q, as applicable, is filed, and shall provide a report showing, on a country-by-country basis: 

 

(a) the net quantity of the Product sold, total gross sales, an itemized list of the deductions applied to total gross sales, and Net Sales of the Product sold in the Calendar Quarter in respect of which such report has been prepared; 

 

(b) the calculation in Dollars of royalty payments due hereunder with respect to such Net Sales, including any deductions for any offsets in accordance with Section 8.3(b)(ii);

 

(c) withholding taxes on Net Sales, if any, required by Applicable Laws to be deducted with respect to such royalties; and

 

(d) the rate of exchange used by Licensee in determining the amount of Dollars payable hereunder.

 

 

If no royalty or other payment is due for any period hereunder, Licensee shall so report.

 

Currency of Payment. All payments to be made under this Agreement shall be made in Dollars by electronic funds transfer to such bank accounts as Licensor may designate from time to time. When Licensee or any of its Sublicensee of Third Party Distributors sells the Product for monies other than Dollars, Licensee will convert any non-Dollar currencies into Dollars with the exchange rate for the purchase of Dollars with such domestic currency as quoted by The Wall Street Journal, New York edition, at an average rate for the Calendar Quarter for which the payment is made.

 

8.5 Accounting. 

(a) Licensee shall determine Net Sales with respect to the Product sold using its standard accounting procedures, consistent with GAAP, as if the Product was a solely owned product of Licensee, except as specifically provided in this Agreement. In the case of amounts to be determined by Third Parties (for example, Net Sales by Sublicensees), such amounts shall be determined in accordance with generally accepted accounting principles in effect in the country in which such Third Party is engaged. Licensor and Licensee also recognize that such procedures may change from time to time and that any such changes may affect the definition of Net Sales. Licensor and Licensee agree that, where such changes are economically material to Licensor, adjustments shall be made to compensate Licensor in order to preserve the same economics as are reflected under this Agreement under Licensee’s accounting procedures in effect prior to such change. Where the change is or would be material to Licensor, Licensee shall provide an explanation of the proposed change and an accounting of the effect of the change on the relevant revenue, cost, or expense category.

 

(b) In the event of the payment or receipt of noncash consideration in connection with the performance of activities under this Agreement Licensee shall advise Licensor of such transaction, including without limitation Licensee’s assessment of the fair market value of such noncash consideration and the basis therefor. Such transaction shall be accounted for on a cash equivalent basis, as mutually agreed by Licensor and Licensee in good faith.

 

(c) Withholding Tax. Notwithstanding anything to the contrary herein, in the event that withholding taxes apply with respect to any amounts due from Licensee hereunder, Licensee shall be entitled to withhold from any payment due to Licensor under this Agreement any taxes that Licensee is required to pay and such withholding shall decrease by an equivalent amount the payment due to Licensor. Licensee shall provide Licensor with notification of any anticipated withholding requirements with as much advance notice as practicable and shall cooperate in good faith with Licensor to legally minimize such withholding taxes. Licensee will timely pay to the proper governmental authority the amount of any taxes withheld and will provide Licensor with an official tax certificate or other evidence of tax obligation, together with proof of payment from the relevant governmental authority sufficient to enable Licensor to claim such payment of taxes. 

 

8.6 Books and Records; Audit Request. 

(a) During the term of this Agreement and for three (3) years thereafter, Licensee shall keep and maintain, and shall cause each of its Affiliates, and Sublicensees, if any, to keep and maintain, at their respective regular places of business complete and accurate books, records, and accounts in accordance with GAAP, or other accounting standards mandated by the U.S. Securities and Exchange Commission if applicable to Licensee, in sufficient detail to reflect all amounts required to be paid under this Agreement, as well as any other books, records or accounts required to be maintained in connection with the Product under any Applicable Laws, necessary to permit the audits contemplated under Section 8.8(b). Prior to destroying any books, records or accounts which are material to the Parties’ rights and obligations under this Agreement, Licensee must seek prior written consent from Licensor, which consent may not be unreasonably withheld.

 

 (b) During the term of this Agreement and for three (3) years thereafter, Licensor shall have access to and the right to examine such relevant records and accounts that Licensee is required to maintain pursuant to Section 8.8(a) at Licensee’s premises for the sole purpose of verifying the accuracy of any report or payment made under this Agreement in the three (3) preceding years; provided, however, that any such examination: (i) shall not occur more than once during each Calendar Year (except that if as a result of any audit pursuant to this Section 8.8(b), an error in favor of Licensee exceeding five percent (5%) of any payments previously reported as owed by Licensee to Licensor is discovered, the frequency of audits under this Section 8.10(b) shall not be so limited); (ii) shall be during normal business hours upon reasonable prior written notice which shall in no event be less than thirty (30) days; and (iii) shall not unreasonably interfere with Licensee’s operations and activities. If Licensor desires to audit such records, it shall engage an independent, certified public accountant reasonably acceptable to Licensee, to examine such records under conditions of confidentiality with respect thereto at least as stringent as those specified in Article 13. The expense of any such audit shall be borne by Licensor; provided, however, that, if an error of more than five percent (5%) in favor of Licensor is discovered as a result of such audit, then such expenses shall be paid by Licensee. If such accountant concludes that additional payment amounts were owed to Licensor during any period, Licensee shall pay such payment amount (including without limitation interest thereon from the date such amounts were payable) within thirty (30) days after the date Licensor delivers to Licensee such accountant’s written report so concluding, unless Licensee notifies Licensor of any dispute regarding the audit. If such accountant concludes that Licensee has overpaid any amounts to Licensor during any period, in Licensor’s discretion, Licensee may credit such amounts against future payments due Licensor or Licensor may pay such amounts (including without limitation interest thereon from the date such amounts were payable), unless Licensor notifies Licensee of any dispute regarding the audit. Any Information received by Licensor pursuant to this Section 8.10 shall be deemed to be Confidential Information of Licensee for purposes of Article 13. 

 

8.7 Blocked Currency. If by Applicable Laws or fiscal policy of a particular country, conversion into Dollars or transfer of funds of a convertible currency to the United States is restricted or forbidden, royalties accrued in such country shall be paid to Licensor in the country in local currency by deposit in a local bank designated by Licensor for such deposit, unless Licensor and Licensee otherwise agree. 

 

8.8 Interest. If Licensor does not receive payment of any sum due to it on or before the due date, simple interest shall thereafter accrue on the sum due to Licensor from the due date until the date of payment at a rate equal to three month Dollar LIBOR Rate, as reported in the online edition of The Wall Street Journal as of Noon (New York Time) on such due date, or the maximum rate allowable by Applicable Laws, whichever is less. 

 

8.9 Transaction Expenses. Licensee shall upon execution and delivery of this Agreement pay the documented reasonable fees and expenses of Licensor’s advisors and counsel incurred by Licensor in structuring, negotiating, memorializing, and otherwise undertaking the transaction contemplated by this Agreement. Notwithstanding the foregoing, Licensee’s obligation under this Section 8.11 shall be limited to an amount not to exceed $2,000,000.

 

KASAN_제약회사 기술이전, License, 제조판매 계약서에서 Royalty Payment 관련 영문계약 조항

 

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작성일시 : 2019. 5. 16. 12:00
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-- 기술이전, 공동연구개발, License, R&D Collaboration Agreement 관련 계약실무 주요 포인트 및 분쟁사례연구 세미나 발표자료 -- 

 

계약실무 세미나는 다양한 형식과 내용으로 자주 있습니다. 저희 사무소에서도 계약실무 기본과정과 심화과정으로 나누어 국문계약과 영문계약 실무에 대해 몇 차례 세미나를 개최한 적이 있습니다. 이번 12/1 오후 예정 세미나에서는 영문계약을 중심으로 기술이전, 공동연구개발, License, R&D Collaboration Agreement 등에서 실무적으로 중요한 포인트를 중심으로 발표할 예정입니다. 또한, 실제 분쟁사례 및 판결을 조사하고 검토하여 계약분쟁의 원인과 판결요지, 실무적으로 바람직한 대응방안 등을 검토하여 보겠습니다.

 

흠 없는 완벽한 계약서는 현실적으로 불가능에 가깝습니다. 다만, 해당 계약서의 기본구조와 내용을 숙지하고, 완벽하지 않거나 다소 불리한 계약조항인 경우에도 그 잠재 Risk를 미리 파악하고, 적절하게 관리할 수 있는 방안을 두고 있다면 충분할 것입니다. 그와 같은 시각에서 기술이전, License, R&D Collaboration 관련 분쟁사례에 비추어 볼 때 실무적으로 자주 문제되는 주요 포인트, Risk 및 관리방안은 무엇인지 등을 다루었습니다.

 

*첨부파일: License, R&D Collaboration Agreement 세미나 발표자료

3 License R&D Collaboration 계약실무 포인트 및 분쟁사례 연구 세미나 발표자료_김국현.pdf

 

작성일시 : 2015. 11. 27. 10:25
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-- 특허기술 라이선스의 대상기술 범위와 전용실시권 대상 특허권리범위 차이 및 라이선스 로열티 기술료 지급의무 -- 

 

종전 블로그에서 1심 판결문을 올린 적이 있습니다. 최근 이 사건의 항소심에서 라이센서 승소판결이 나왔는데, 조만간 그 판결문을 입수하면 다시 상세하게 소개하겠습니다. 여기서는 라이선스 대상기술 범위에 관한 쟁점만 간략하게 살펴보겠습니다.

 

1.    기술이전 라이선스 계약

 

     

      

 

2.    대상기술 범위에 대한 쟁점

 

피고 Licensee는 특허권 전용실시권 설정계약인데도 대상특허에 대한 무효심결이 확정되었고, 또한 실제 특허기술을 실시하지 않았으므로, 기술료 지급의무가 없다는 입장입니다. 특허무효 관련 쟁점을 제외하면, 위 계약서에서 정한 라이선스 대상 기술범위를 특허권리범위로 제한할지 아니면 그 범위를 넘어선 관련기술까지 포함하는지 여부가 핵심쟁점입니다.

 

3.    1심 판결

 

판결은 비록 라이선스 계약서 제목이 "전용실시계약서"로 되어 있고, 실제 특허등록 후 전용실시권을 설정 등록하였지만, 계약서 정의규정에서 "이 사건 연구 과제를 통해 개발된 기술, 출원 중인 발명특허 기술에 관련된 사항"으로 규정한 것을 중시하여, 그 라이선스 대상기술을 특허권에 한정하지 않고 그와 관련된 기술내용을 포함한 것으로 해석하였습니다. 이와 같은 배경에서 비록 특허무효가 되었다고 해도 계약서에서 약정한 경상 기술료를 지급해야 한다고 판결하였습니다.

 

기술이전 라이선스 계약서에서 대상기술을 어떻게 특정하는가에 따라 향후 큰 이해관계가 엇갈린 사례입니다. 라이선스 계약서의 실무적 무게를 잘 보여줍니다. 항소심 판결내용을 검토한 후 다시 상세하게 설명드리겠습니다.

 

작성일시 : 2015. 11. 24. 09:49
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-- 라이선스 대상특허가 추후 무효로 된 경우 로열티 지급 여부를 둘러싼 소송: Sanofi-Aventis (licensor) v. Genentech (licensee) 사건 -- 

 

분쟁대상인 특허 라이선스 계약은 2001년 독일회사 Behringwerke (licensor, 당시 독일회사 Hoechst 자회사, 현재 Sanofi‑Aventis로 합병됨) Genentech (licensee) 사이에 체결된 것입니다. 라이선스 계약은 governing law로 독일법, 분쟁해결수단은 ICC arbitration에 따른다고 규정하였습니다.

 

해당특허는 EP No. 0 173 177 "Enhancer for eukaryotic expression systems"와 같은 원천기술에 해당하고, 상당한 액수의 upfront payment에 덧붙여 매출의 0.5%에 해당하는 액수를 running royalty로 지급한다고 되어 있습니다. Genentech (licensee)는 이 기술을 활용하여 rituximab 등 소위 블록버스터에 해당하는 의약품을 개발하였고, Roche와 합병 후 전세계 시장에서 해당 제품을 판매하고 있습니다.

 

현재 당사자 사이에 복잡한 분쟁이 장기간에 걸쳐 진행 중이고, 그 중 라이선스 관련 핵심쟁점으로 해당 특허가 무효로서 이미 등록이 취소된 경우 그 특허에 관한 로열티를 라이선스 계약에 따라 여전히 지급할 의무가 있는지 여부입니다. 우리나라뿐만 아니라 다른 나라에서도 분쟁이 빈발하고 그 해결은 쉽지 않는 복잡한 문제입니다.

 

이 라이선스 분쟁에서는, 라이선스 계약상 ICC arbitration에서 라이선서 Sanofi-Aventis 가 승소하였습니다. 2013년 중재판정에서 라이센시 Genentech License 계약에 따른 경상로열티 108,322,850 유로(17백억원)와 지연이자를 라이센서에게 지급하여야 하고, 여기에 추가로 중재비용으로 약 1 million 유로 + 8십만 달러에 달하는 거액을 지불하라고 판정하였습니다.

 

이에 라이선시 Genentech은 위 중재판정에 불복하여 중재판정취소의 소를 프랑스 파리고등법원에 제기하였습니다. 그런데 파리고등법원은 무효특허에 기초한 running royalty 지급의무를 인정한 중재판정 중 핵심쟁점을 판단해 달라는 취지로 사건을 유럽사법재판소(ECJ)에 보냈다고 합니다.

 

중재판정에서 라이선스 대상 특허가 무효로서 특허등록이 취소되었음에도 그 해당기술을 실시하는 경우 로열티를 지급하여야 한다고 판단한 것은, 그 적용법 독일법령에서 이와 같은 해석이 타당하다고 보았기 때문입니다. 그러나, 이와 같이 무효인 특허권에 기초한 로열티 지급이 공정거래법 위반으로 허용되지 않는다고 해석되어야 하는 것은 아닌지가 핵심쟁점입니다. 이와 같은 쟁점에 대해 프랑스 파리고등법원은 직접 판결을 하기보다 유럽연합의 사법재판소에서 판단해 달라고 요청한 것입니다. ECJ에서 해당 쟁점에 관한 판결을 할 것으로 예상됩니다.

 

ICC 중재판정에서 독일법에서 무효특허에 대한 로열티 지급의무를 인정한 근거는 주의해 볼 필요가 있습니다, 정확하게는 무효 전 미지급한 로열티를 청구할 수만 있을 뿐 무효 후 로열티는 청구할 수 없다는 복잡한 내용입니다. 참고로 프랑스 변호사의 코멘트를 인용합니다.

 

The summary of German law on the consequences of the invalidity of the licensed patent on the licensee’s obligation to pay royalties for the time period after a judgment finding a patent invalid: a licensor may claim the payment of royalties that the licensee did not pay until the moment the decision on invalidity is final and binding because, up to that moment, the patent was in force. However, after a final and binding decision holding a patent invalid, there is no room for a claim to collect running royalties for the use of the patent.

 

작성일시 : 2014. 10. 31. 17:43
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-- 업무상 디자인 창작자에 대한 직무발명 보상 문제 - 회사에서 디자인 개발이 본래 업무인 디자이너에게도 직무발명 보상금 청구권이 있습니다. 기술개발과 거리가 먼 패션회사 등에서도 직무발명의 관리 및 보상 시스템을 잘 운영하는 것은 매우 중요합니다. --

 

애플 v. 삼성전자 사이의 스마트폰 관련 특허소송을 보더라도 특허뿐만 아니라 디자인이 제품 경쟁력의 핵심요소라는 점을 알 수 있습니다. 이처럼 중요한 제품 디자인을 창작한 직원에게 그 기여도에 따른 적절한 보상을 하여야 한다는 것은 당연합니다


그럼에도 불구하고, 특허발명자에 대한 직무발명 보상 문제는 자주 거론되지만, 디자인 창작자에 대한 보상은 논의되는 경우는 거의 없습니다. 아마도 직무발명이란 용어 때문에 발명만이 그 대상이고 디자인은 적용대상이 아니라는 잘못된 인식이 있기 때문일 것입니다. 그런데 이러한 일반적 인식은 법규정 내용과 전혀 다른 잘못된 것입니다. 해당 법규정을 구체적으로 살펴 디자인도 직무발명에 해당된다는 점을 설명 드립니다.

 

발명진흥법에서는 발명, 고안과 마찬가지로 디자인 창작자에 대한 사용자의 직무발명 보상의무를 명시적으로 규정하고 있습니다. 발명진흥법 제2조에서는 다음과 같이 발명을 특허법상 발명뿐만 아니라 실용신안 고안과 디자인 창작을 포괄하는 의미로 정의하고 있습니다. 특허법상 발명의 정의와 다르다는 점에 유의해야 합니다.


2 제1 - "발명"이란 「특허법」·「실용신안법」 또는 「디자인보호법」에 따라 보호 대상이 되는 발명, 고안 및 창작을 말한다.


2 2 - "직무발명"이란 종업원, 법인의 임원 또는 공무원(이하 "종업원등"이라 한다)이 그 직무에 관하여 발명한 것이 성질상 사용자·법인 또는 국가나 지방자치단체(이하 "사용자등"이라 한다)의 업무 범위에 속하고 그 발명을 하게 된 행위가 종업원등의 현재 또는 과거의 직무에 속하는 발명을 말한다.

 

직무발명의 정의규정에서의 발명은 앞에서 정의한 바와 같이 특허법상 발명뿐만 아니라 실용신안의 고안 및 디자인의 창작을 포함하는 의미입니다. 그 이후 발명진흥법 규정에서 발명으로 기재된 부분은 모두 디자인의 창작에 대해서도 적용되는 것입니다.

 

따라서, 디자인 창작자는 사용자에게 그 디자인을 양도한 경우라면 특허발명의 경우와 마찬가지로 정당한 보상을 받을 권리를 가집니다. 예를 들어, 해당 디자인을 출원 및 등록한 후 그 디자인을 채택하여 실시하는 경우라면 디자인권자로서 통상실시권을 넘어선 범위에서 누리는 독점적 지위로부터 발생하는 사용자의 이익으로부터 자신의 기여도에 따른 정당한 보상을 받을 수 있습니다. 설령 해당 디자인을 출원하지 않았다고 해도 그 디자인을 채택하여 실시하는 경우에는 여전히 정당한 보상을 받을 권리를 가집니다. 사용자가 실시하지 않고 이전하거나 라이선스를 한 경우에도 특허발명과 마찬가지로 사용자의 이익을 기준으로 적당한 보상을 받을 수 있습니다.

 

참고로, 저희 사무소에서 담당했던 분쟁사건 중에는 특허권, 실용신안권, 디자인권이 모두 침해라고 주장된 사례가 있었습니다. 그러나, 라이선스 협상 과정에서 특허권과 실용신안등록은 무효 가능성이 매우 높다는 점이 밝혀졌고, 권리자인 일본회사는 한국회사를 대상으로 하는 실제 침해소송에서 디자인권 침해만 주장하였습니다. 한국회사인 실시자가 제기한 디자인권 무효심판에서는 디자인 등록은 무효로 되지 않고 살아남았습니다. 양사는 최종적으로 유효한 디자인권에 대한 실시대가를 지불하기로 하고 라이선스를 체결하는 화해로 분쟁을 종결하였습니다. 권리자에 대한 로열티는 up-front 고정금액과 제품 판매개수 당 일정액을 지불하는 running royalty로 지불되었습니다. 이러한 상황은 특허권에 대한 라이선스와 동일한 구조입니다. 따라서, 디자인 창작자는 사용자가 얻는 로열티 수입을 기준으로 자신의 기여도에 따라 산정된 정당한 보상금을 청구할 수 있을 것입니다.

 

한편, 고도의 기술력보다 디자인이 더 중요한 분야에서는 디자인 창작자의 직무발명 보상문제가 더욱 중요합니다. 예를 들면, 패션분야의 회사라면 다자이너에 대한 정당한 보상 시스템을 갖추고 있어야 합니다. 디자인 등록 여부와 상관없이 어떤 디자인이 채택되어 크게 유행한 경우라면 사용자의 이익도 큰 금액이 될 수 있고, 디자인 창작자는 그 사용자의 이익을 근거로 자신의 기여도에 따른 직무발명 보상금을 청구할 수 있습니다. 이와 같은 직무발명 보상금 청구권은 10년의 시효로 소멸합니다따라서, 그 당시 보상금을 지급하지 않고 다수의 보상금 청구권이 장기간 동안 누적된다면 회사로서는 막대한 액수의 우발채무를 안게 될 것입니다. 디자이너에게 적절한 인센티브를 부여하여 창작 의욕을 고취할 뿐만 아니라 경영상 리스크를 제때 관리한다는 측면에서도 발명진흥법에 따른 적절한 직무발명 보상체계를 수립하는 것이 바람직합니다.

작성일시 : 2013. 10. 4. 20:25
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-- 국내외 기술이전 Royalty Rate 통계 자료 –  ㈜ 델타텍코리아 2012. 4. 발표 한국 업종별 실시료율 산출 보고서 중 일부 표 인용 -- 

 

대표적 기술이전 전문회사로 널리 알려진 ㈜델타텍코리아에서 보유하고 있는 기술이전에관한 로열티 자료와 기술이전 관련 컨설팅 회사인 미국 AUS사의 자료를 정리한 것입니다.


국내외 기술이전 관련한 로열티 산정, 특허침해를 원인으로 한 손해액 산정, 영업비밀침해시 손해액 산정, 직무발명의 자기 실시로 인한 이익액 산정시에 모두 참고자료로 활용될 수 있는 귀중한 통계자료로 생각됩니다.


발표자료 중에서 가장 핵심적인 내용을 담고 있는 아래 표를 참고로 올려드립니다. 데이터를 수집하고 정리하여 공개한 델타텍코리아에 감사드립니다.


작성일시 : 2013. 8. 22. 19:21
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