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企业应用专利战略.ppt

企业应用专利战略

UC 2010-01-20 评分 0 浏览量 0 0 0 0 暂无简介 简介 举报

简介:本文档为《企业应用专利战略ppt》,可适用于专利领域,主题内容包含企业应用专利战略EnterprisePatentApplicationStrategies清华大学教授、专利代理人ProfessorofTsingh符等。

企业应用专利战略EnterprisePatentApplicationStrategies清华大学教授、专利代理人ProfessorofTsinghuaUniversityandPatentAgent丁英烈DingYinglie企业应用专利战略EnterprisePatentApplicationStrategies开头的话:发人深思的专利侵权案Beginningremark:PatentInfringementCaseRequiringDeepThinking企业专利的重要性Importanceofenterprisepatent企业专利战略是经营战略的重要一环Enterprisepatentstrategiesshallrefertooneimportantprocedureofitsbusinessstrategies事件的经过Process:早在年代经营建筑、航天业的美国Honeywell公司对微电子应用产生了浓厚的兴趣并在自动聚焦领域开花结果。自至年间获得美国四项专利即美国第, ,专利及,号再发行专利。其有效期满日期为~年。Earlyins,AmericanHoneywellengagedinconstructionandaviationindustryhasgeneratedgreatinterestinmicroelectronicapplicationandachievedfruitfulresultsintheautomaticfocusfieldBetweenand,ithasbeengrantedfourpatentrightsinAmericawhichareNo,,patentsandN,republicationpatentThevalidityis  年Honeywell公司就自动聚焦技术召集世界主要照相机厂家召开了技术公开会缔结所谓“技术公开协议”(advancedisclosureagreement)日本的Minoulta与会并签了字还花了万千美元买了Honeywell公开的有关技术资料。其微型组件不久将公开销售。当时Honeywell公司要求各厂家把该组件作为标准件用于各厂家的照相机上并由Honeywell提供这种组件。In,HoneywellhassummonedmainworldcameramanufacturersandheldapublictechnologicalconferenceconcerningautomaticfocustechnologytoreachthesocalledadvancedisclosureagreementJapaneseMinoultahasattendedtheconferenceandpressedthesignatureandspent,USDtopurchaserelevanttechnicalmaterialspublishedbyHoneywellThemicroscopiccomponentswillbesoldinthenearfutureAtthatmoment,HoneywellhasaskedvariousmanufacturerstoadoptthecomponentsinthecamerasofvariousmanufacturersasthestandardpartsHoneywellshallberesponsibleforprovidingthesecomponents经研究Minoulta公司认为Honeywell公司的组件有缺陷决定独自开发自动聚焦系统并通知Honeywell公司。因此Honeywell公司特别指出Minoulta公司不得将该组件用于其照相机上且不得将得到的技术资料用于不正当的目的。  Uponresearch,MinoultaheldthatthecomponentsofHoneywellsufferfromdefectsItthusdecidedtodeveloptheautomaticfocussystembyitselfandnotifiedHoneywellTherefore,HoneywellhasspeciallypointedoutthatMinoultashallnotutilizethecomponentsinthecamerasandshallnotutilizetheobtainedtechnicalmaterialsforunjustpurposes  后来Minoulta公司开发了两种照相机一种用的是Honeywell公司的微型组件一种用本公司的原型组件结果经对比论证选定了本公司自行设计的自动聚焦系统他们认为与Honeywell公司中的专利不构成侵权关系并且作为‘MAXXUM’系列推向美国市场效果很好从而确立了在美国市场的地位。Later,Minoultahasdevelopedtwocameras:oneutilizedmicroscopiccomponentsofHoneywellandtheotherhasutilizedtheoriginalmodecomponentsofthecompanyAsaresult,ithasselectedtheselfdesignedautomaticfocussystemthroughcontrastanddemonstrationTheyhaveheldthatitdoesnotconstitutetheinfringementrelationshipwiththepatentofHoneywellBesides,theproductshavebeenpromotedtoAmericanmarketas‘MAXXUM’seriesGiventheexcellenteffect,theproductshaveconfirmedthestatusinAmericanmarket年Honeywell公司向Minoulta公司提出警告怀疑Minoulta侵权经协商无效Honeywell公司于年月向美国新泽西州联邦地方法院提起诉讼。In,HoneywellhasmadeawarningtoMinoultaandsuspecteditsinfringementUponnegotiationfailure,HoneywellhasbroughtalawsuittoAmericanNewJerseyFederalLocalCourtinApril专利战略决非申请专利了事诸如技术的公开分析、市场动态及时提出警告另一方则购入情报进行分析切实找出不足独立开发自主产品是不可不做的。Thepatentstrategiesarenotjustlimitedtopatentapplicationsuchastechnologicalpublication,analysis,marketdynamicsandtimelywarningTheotherpartycanpurchasetheinformation,conductanalysis,findoutthedefectsandindependentlydevelopselfownedproducts双方的主张Opinionsofbothparties  原告(Honeywell公司):本公司的自动聚焦技术在年代前期是照相机行业堪称“圣权”的优秀技术在缔结技术公开协议时Minoulta公司不可能拥有这项技术在开发’MAXXUM’系列照相机之际故意侵犯了原告的项专利技术而且将得到的技术资料用于不正当目的实属违约。Theplaintiff(Honeywell):Theautomaticfocustechnologyofthecompanyisknownas“sovereignpower”excellenttechnologyinthecameramanufacturingindustrybeforesDuringthetechnologicalpublicationagreement,MinoultacannotownthetechnologyIthasdeliberatelyinfringeduponfourpatenttechnologiesoftheplaintiffduringthedevelopmentof’MAXXUM’seriescamerasandutilizedobtainedtechnologicalmaterialsforunjustpurposesTheybelongtoillegalconducts  被告(Minoulta公司):Honeywell公司的技术有缺陷因此被告独自以本公司年代研究的成果为基础开发了‘MAXXUM’系列照相机该产品没有侵犯任何的专利权。并以专利技术没有指出已有技术及最佳实施例等为理由对项专利提出了无效宣告请求。另外技术公开协议的签署是在Honeywell公司的欺骗下进行的也应是无效的还有在当时可以用更便宜的价格从其他公司买到同样的技术资料。  Defendant(Minoulta):HoneywellsuffersfromtechnologicaldefectsTherefore,thedefendanthasindependentlydeveloped‘MAXXUM’seriescamerasbasedontheresearchachievementsinsTheproductshavenotinfringeduponanypatentFurthermore,thepatenttechnologyhasnotraisedineffectiveannouncementrequesttofourpatentsbyreasoningofexistenttechnologiesandoptimalimplementingcasesAndsigningofpublictechnologicalagreementhasbeenconductedunderthedeceitofHoneywellandshallbeinvalidAtthattime,thesametechnicalmaterialscanbepurchasedfromothercompaniesatalowerprice陪审判决结果Juryjudgementresult经天审议各种证言及几千种证据又经过天半的评议名陪审员判定Minoulta公司侵害了Honeywell公司的专利一项专利未被侵害另一项虽被侵权但因不具创造性被判为无效其结果为Honeywell的主张的件专利中只有件有效且被侵害拟判专利侵权赔偿金额为九亿六千万美元然而这两件专利是当年后半年将到期的专利。Throughauditingofvarioustestimonyandthousandsofevidencethroughseventysixdaysandevaluationthroughsixandahalfdays,eightjurorshavejudgedthatMinoultahasinfringeduponthepatentofHoneywellOnepatentisnotinfringedAlthoughtheotherpatentisinfringed,yetithasbeenjudgedintoinvalidationduetonocreativitiyAsaresult,onlytwooffourpatentsadvocatedbyHoneywellarevalidandinfringedTheplannedpatentinfringementcompensationismillionUSDHowever,thesetwopatentsrefertopatentsthatwillbecomematureinthesecondhalfyear  另外陪审还认为Minoulta的侵权不是故意的。驳回Honeywell公司主张的Minoulta公司不当使用了技术资料同时也驳回了Minoulta “协议是在欺骗下签署的”主张该案最终是和解解决的。Besides,thejuryhasheldthattheinfringementofMinoultaisnotintentionalThecourthasdismissedtheimproperutilizationoftechnicalmaterialsbyMinoultaadvocatedbyHoneywellAtthesametime,ithasdismissedtheclaimofMinoultaconcerning“agreementhasbeensignedunderdeceipt”Thecasehasbeenfinallysettledthroughmediation  诉讼过程中原、被告都可以依法(中国还有多项司法解款)提出自己的主张如故意侵权无效宣告请求等。另外和解是应该优先考虑的解决方式。Duringthelawsuit,boththeplaintiffanddefendantcanraisetheirownopinionsaccordingtolaw(therearenumerousjudicialinterpretationsinChina)suchasdeliberateinfringement,invalidannouncementrequestandsoonBesides,themediationshallbethefirstsolutiontobeconsidered反应Response  该案判决后各方反应不一。Afterthejudgment,variouspartieshavedifferenceresponses  Minoulta方面表示“今后仍然要对美国司法制度持信任态度”。Minoultahasexpressed:“WeshallstillholdatrustworthyattitudetowardsAmericanjudicialsysteminthefuture”  Honeywell方面表示如果被告是美国企业确信会判为故意侵权。HoneywellhasexpressedthatitshallconfirmthedeliberateinfringementoncethedefendantisanAmericanenterprise  担任此项审理法官则表示与这件事无关的世界性问题并没有对这次审理构成任何影响。Thejudgehasexpressedthatworldproblemsirrelevanttothiscasehavenotbroughtaboutanyinfluenceonthejudgment  但更多的人认为该事件的发生正值日美贸易摩擦升级专利战日益加剧之际不是偶然的还有人联系到当年正是日本偷袭珍珠港周年的事情。ButmorepeopleholdthattheoccurrenceofthisincidentisnocoincidenceduringtheescalationofJapanAmericatradefrictionsandpatentwarsSomepeoplehavethoughtaboutthanniversaryofJapanesearmy’sattackingPearlHarbor  而企业界知识产权界则更重视判断侵权的标准、赔偿金额的裁定及法律程序上的诸多问题应吸取什么有益的教训。Buttheenterprisesandintellectualpropertyrightfieldhaveattachedmoreimportancetothestandardofinfringementjudgment,judgmentofcompensationsumandnumerousproblemsinthelegalproceduresaswellaslessonstobedrawn知识产权制度不仅在国内在国际上还有不少待完善的规则追求一种成熟的有效的企业专利战略还有很多路要走。TheintellectualpropertyrightsystemneedsalotofimprovementsincertainregulationsbothathomeandabroadThereisstillalongwaytogoinpursuingamatureandeffectiveenterprisepatentstrategies第一部分 专利基本知识PartIBasicpatentknowledge专利制度的基本思想Basicthoughtofpatentsystem  技术的公开与技术的独占是人类长期以来想解决而没有解决的一对矛盾。Technologicalpublicationandmonopolyareapairofcontradictionmankindhaslongwantedtosettlebutfailedtosettle  专利制度的基本思想Basicthoughtofpatentsystem    技术的公开技术的持续发展Technologicalpublicationsustainabledevelopment    技术的独占技术的有效保护Technologicalmonopolyeffectiveprotection专利制度巧妙地解决了技术的公开与技术独立之间的矛盾。Thepatentsystemhastacticallysettledthecontradictionbetweentechnologicalpublicationandmonopoly专利制度Patentsystem产业的发展Industrialdevelopment  换句话说:作为新技术被公开的一种补偿赋予新技术拥有者在一定期间内对于该技术的独占实施权。Inotherwords,itshallbeofferedtothenewtechnologicalownersasthecompensationfornewtechnologicalpublicationItshallrefertothemonopolyimplementationrighttothetechnologywithinacertainperiodoftime  也可以说Wecanalsosaythat  公开是对公众社会尽的义务Publicationistheobligationstothepublicsociety  独占实施权则是一种授予的权利。Monopolyimplementationrightisakindofgrantedright  权利和义务应该是对等的。若想享有独占的实施权利就必须尽技术公开的义务。RightsandobligationsshallbecorrespondingtoeachotherThetechnologicalpublicationobligationsmustbefulfilledtoenjoythemonopolyimplementationright  而“权利”和“义务”在专利法的条文中都有具体的详尽的规定。“Rights”and“obligations”havebeenstipulatedinthepatentlawindetail  此乃专利制度的基本思想Thisisthebasicthoughtofpatentsystem  也是专利制度在世界范围内兴盛不衰的原因之所在。Itisalsothereasonfortheeternalprosperityofpatentsystemintheworld做好专利工作的必要性Necessityofpatentwork  技术在经济发展中所起的作用日益增长因而企业之间的技术竞争愈来愈激烈在此竞争中用好专利实施正确的专利战略将给企业带来巨大的好处。TechnologiesareplayinganincreasingimportantroleintheeconomicdevelopmentTherefore,thetechnologicalcompetitionbetweenenterpriseshasbecomeincreasingfierceGoodutilizationofpatentinthefiercecompetitionandimplementationofcorrectpatentstrategieswillbringaboutgreatbenefitstotheenterprises  独占市场取得丰厚的利润:Monopolizingthemarketandgainingfruitfulprofits:  企业花了大量的人力、物力开发了新产品、新技术希望能独家向消费者提供至少在一段时间内是如此以补偿研制开发所付出的成本获取最大的利润扩大再研究再生产国家正是通过施行专利制度对企业或者个人提供这种保护的。  Theenterpriseshaveplungedintohugeamountofmanpowerandmaterialstodevelopnewproductsandnewtechnologieswiththeviewtoprovideforconsumersexclusively,atleastforacertainperiodoftimeThecostattheexpenseofcompensatedresearch,manufacturinganddevelopmentaimstogainthemaximumprofitsandexpandtheresearchandproductionagainThestateisimplementingthepatentsystemtoprovidesuchprotectionfortheenterprisesorindividuals例如:美国有一家复印机公司年内复印机销售额提高了倍利润提高了倍原因是年内围绕该复印机先后共取得了年项专利权形成了专利网。Forinstance,oneduplicatorcompanyinAmericahasupgradeditssalesvolumebytimesandprofitsbytimeswithintenyearsThereasonisthatithasachievedpatentrightsconcerningtheduplicatorwithinfourteenyearsandformedapatentnetwork防止他人模仿本企业开发的新技术、新产品Preventingotherstosimulatethenewproductsandtechnologiesdevelopedbytheenterprise  一段时间以来假冒相当猖獗Counterfeitgoodsareveryrampantforacertainperiodoftime  对付它的办法只能依靠专利专利法第条有明确的规定。WehavetosettletheproblemwithpatentArticleXIofPatentLawhasverydefinitestipulations法条:发明和实用新型专利权被授予后除本法另有规定的以外任何单位或者个人未经专利权人的许可都不得实施其专利即不得为生产经营目的制造、使用、许诺销售销售、进口其专利产品或者使用其专利方法以及使用、许诺销售、销售、进口依照该专利方法直接获得的产品。ArticleXI:Aftertheinventionsandpracticalnewtypesofpatentsaregranted,anyunitorindividualshallnotimplementthepatentswithoutthepatentee’sapprovalexceptforotherstipulationsinthePatentLawThatistosay,theyshallnotengageinthemanufacturing,utilization,promisedsales,salesandimportofthepatentproductsfortheproductionandbusinessoperationTheyshallnotutilizethepatentmethodsandutilize,promisetosell,sellorimporttheproductsgaineddirectlythroughthepatentmethods  外观设计专利权被授予后任何单位或者个人未经专利权人许可都不得实施其专利即不得为生产经营目的制造、销售、进口其外观设计专利产品。Aftertheappearancedesignpatentisgranted,anyunitorindividualshallnotimplementthepatentswithoutpatentee’sapprovalThatistosay,theyshallnotengageinmanufacturing,salesandimportofappearancedesignpatentproductsforthepurposeofproductionandbusinessoperation  专利技术可以作品商品出售Patenttechnologycanbesoldascommodities   开头的话中所述案例就是最好的证明Thecasedescribedinthebeginningremarksisthebestevidence专利权可以交叉许可Patentrightcanbepermittedinacrossedway技术领域日益宽广任何一家企业不可能面面俱到可以利用自己的专利权换取自己需要的专利权相当于另一种形式的专利权转让。TechnologicalfieldhasbecomeincreasingbroadAnyenterprisecannotbecomeperfectinallrespectsButitcanutilizeitsownpatentrightstoreplacetheneededpatentrightsjustlikethepatentrighttransferinanotherform  专利具有很好的宣传效果。Patentrightenjoysverygoodpropagandaeffect基本内容之一:七个“三”Oneofbasiccontent:seven“threefactors”  专利权的三个基本属性:独占性、时间性、地域性Patentrighthasthreebasicnatures:monopoly,timeandregion  独占性:专利权人对其拥有的专利权具有独占的实施权Monopoly:Thepatenteehasthemonopolyimplementingrighttotheownedpatentright  时间性:专利权人的独占实施权是有时间限制的不是永久的Time:Themonopolyimplementingrightofpatenteehastimelimit地域性:专利权的权限有效地区只限于专利权授予国的领土上也就是说经某国专利局依法授予的专利权只在该国领域内受到保护而在那些未申请的国家则不受保护。Region:ThepatentrightisonlyeffectivewithintheterritoryofgrantingcountryThatistosay,thepatentrightgrantedbythepatentbureauofacertaincountryaccordingtolawshallbeonlyprotectedwithintheterritoryTheyshallnotbeprotectedinthosecountrieswithoutanyapplications思考题:如何利用专利权的时间性、地域性?Question:Howdoweutilizethetimeandregionalnatureofpatentright  专利三性:新颖性、创造性、实用性Thepatentrightshallhavethreenatures:new,creativeandpractical  新颖性是指在申请日之前该技术或产品应该是新的没有同样的技术或产品处于公开的状态。处于公开的状态表示人们可以合法地得知和该技术或产品是否被得知有关系但不是完全等同的。NoveltyshallrefertotheconditionthatthetechnologyorproductisnewbeforethedateofapplicationNosametechnologyorproductisintheopenstatusTheopenstatusmeansthatthepeoplecanknowitinalegalwayItisrelatedtotheknowledgeofthistechnologyorproductButitisnotcompletelythesame  专利实践中有大量的这样的例子。  Therearehugeamountofsuchexamplesinthepatentpractice创造性是指该技术或产品比申请日前的同类技术或产品有突出的实质性特点和显著进步(发明专利)或有实质性特点和进步(实用新型)或者有区别和工业美感(外观设计)。Creativityshallrefertotheconditionthattechnologyorproducthasoutstanding,essentialfeaturesandobviousprogress(inventionpatent)thanthesametypeoftechnologiesorproductsbeforethedateofapplication,orhasessentialfeaturesandprogress(practicalnewtype)orhasdifferencesandindustrialbeauty(appearancedesign)  实用性是指在产业上是可以应用的且是可以重复应用的。Practicalnatureshallrefertoindustrialandrepeatedapplication  以上专利三性简称专利性。在专利法中专利性是十分重要的内容它是专利申请能否授权的最基本的条件。TheabovethreepatentfeaturesarereferredtoaspatentabilitypatentabilityisahighlyimportantcontentinthePatentLawItisthemostbasicconditionforpatentauthorization思考题:从日常生活和工作中举大量例子来说明是否具有专利三性Question:Pleaseofferhugeamountofexamplesinourdailylifeandworktoexplainthreepatentfeatures  三种专利、中国专利法保护:发明专利实用新型专利外观设计专利三种。ThreepatentsandprotectionbyChinesePatentLaw:inventionpatent,practicalnewpatentandappearancedesignpatent  发明专利是指对产品、方法或者其改进所提出的新的技术方案如上所述应有相当的发明高度即突出的实质性特点和显著进步。 Inventionpatentshallrefertonewtechnicalplansraisedtotheproducts,methodsorimprovementForinstance,theabovementionedcontentshallhaveacertaininventionheightwhichreferstooutstandingessentialfeaturesandobviousprogress实用新型是指对产品的形状、构造或者其结合所提出的适于实用的新的技术方案对其发明的高度要求比发明专利低即实质性特点和进步。Practicalnewtypepatentshallrefertonewtechnicalplanapplicabletorealpracticeraisedtotheproductshape,structureoritsintegrationItsinventionheightshallbelowerthantheinventionpatentwhichmeansessentialfeaturesandprogress  外观设计是指对产品的形状、图案或者其结合以及色彩与形状、图案的结合所作出的富有美感并适用于工业应用的新设计。Appearancedesignshallrefertonewdesignwithasenseofbeautyandapplicabletotheindustrialutilizationconductedtotheproductshape,picturesortheirintegrationaswellasintegrationofcolor,shapeandpictures商标Trademark形状、构造新方案-实用新型Shapeandstructurenewplanpracticalnewtypepatent产品、技术的方案-发明专利Productandtechnologicalplaninventionpatent外观形状、色彩的设计-外观设计Appearance,shapeandcolordesignappearancedesign产品与三项专利的关系Relationshipbetweenproductsandthreepatents  巴黎公约三原则ThreeprinciplesofParisConvention  巴黎巴约是关于保护工业产权的国际组织(工业产权中包括了专利权)世界上绝大多数的国家都是该组织的成员。ParisConventionOrganizationisaninternationalorganizationconcerningprotectionofindustrialownership(theindustrialownershiphasincludedthepatentright)Mostofthecountriesintheworldaremembersofthisorganization  巴黎公约组织定有三原则称为巴黎公约原则:ParisConventionorganizationhasthreeprincipleswhicharecalledParisConventionprinciples:  独立原则国民待遇原则国际优先权原则。顾名思义三原则规定了在工业产权方面成员国之间应遵循的原则解决了很多相互申请专利的难题。 Independentprinciple,citizentreatmentprincipleandinternationalpreemptiverightprincipleAstheirnamesimply,threeprincipleshavestipulatedthecontentsmembershipcountriesshallbeinstrictadherencetoconcerningindustrialownershipTheyhavesettledalotofdifficultiesinthemutualpatentapplication独立原则在专利法的立法方面如保护什么如何保护都由本国自行决定成员国之间都是相互独立的。不过随着国际化的发展这个原则有逐渐弱化的趋势。IndependentprincipleshallbedecidedbythecountryitselfinthelegislationofpatentlawsuchasprotectioncontentandmeasuresThemembershipcountriesareindependenttoeachotherButthisprinciplehasaweakeningtendencywiththeinternationalization  国民待遇原则是指成员国之间在专利申请、专利保护、专利转让等活动中相互给予国民待遇一视同仁不允许搞什么内外有别。Citizentreatmentprincipleshallrefertocitizentreatmentandequalitybetweenmembershipcountriesinthepatentapplication,patentprotectionandpatenttransfer  国际优先权原则是指一成员国的企业或个人向另一成员国申请专利时可以享有规定期间的优先权发明专利和实用新型个月外观设计个月即在这一期间内向其他成员国申请专利时新颖性和创造性的审查时将第一国的申请日视为该国的申请日。这就大大地方便了国际专利申请。TheinternationalpreemptiverightprincipleshallrefertotheconditionthatenterpriseorindividualofonemembershipcountrycanenjoythepreemptiverightwithinthestipulatedperiodonceapplyingtotheothermembershipcountryforpatentTheinventionpatentandpracticalnewpatentshallhavemonthsandappearancedesignshallhavemonthsThatistosay,duringthepatentapplicationtoothermembershipcountrieswithinthisperiodandincaseofnoveltyandcreativityauditing,theapplicationdateofthefirstcountryshallbetakenasitsapplicationdateThishasbroughtgreatconveniencefortheinternationalpatentapplication  除此之外根据双边、多边协议相互给于国民待遇和国际优先权的事例也是不少的。Besides,therearenumerouscasesofmutualofferingofcitizentreatmentand

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