企业应用专利战略EnterprisePatentApplicationStrategies清.ppt

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1、企业应用专利战略Enterprise Patent Application Strategies清华大学教授、专利代理人Professor of Tsinghua University and Patent Agent 丁英烈Ding Yinglie 2008.7,企业应用专利战略Enterprise Patent Application Strategies开头的话：发人深思的专利侵权案Beginning remark:Patent Infringement Case Requiring Deep Thinking,企业专利的重要性Importance of enterprise paten

2、t 企业专利战略是经营战略的重要一环Enterprise patent strategies shall refer to one important procedure of its business strategies,事件的经过 Process:早在70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1975至1977年间获得美国四项专利，即美国第3806935,3875401,4002899专利及29,599号再发行专利。其有效期满日期为19921994年。Early in 1970s,American Honeywell

3、 engaged in construction and aviation industry has generated great interest in micro-electronic application and achieved fruitful results in the automatic focus field.Between 1975 and 1977,it has been granted four patent rights in America which are No.3806935,3875401,4002899 patents and N.29,599 re-

4、publication patent.The validity is 1992-1994.,1979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”(advance disclosure agreement)，日本的 Minoulta与会并签了字，还花了8万5千美元买了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Honey well提供这种组件。In 1979,Honeywell has summoned main world camera

5、 manufacturers and held a public technological conference concerning automatic focus technology to reach the so-called advance disclosure agreement.Japanese Minoulta has attended the conference and pressed the signature and spent 85,000 USD to purchase relevant technical materials published by Honey

6、well.The microscopic components will be sold in the near future.At that moment,Honeywell has asked various manufacturers to adopt the components in the cameras of various manufacturers as the standard parts.Honeywell shall be responsible for providing these components.,经研究，Minoulta公司认为Honeywell公司的组件

7、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。Upon research,Minoulta held that the components of Honeywell suffer from defects.It thus decided to develop the automatic focus system by itself and notified Honeywell.Therefore,Honeywell has specially poin

8、ted out that Minoulta shall not utilize the components in the cameras and shall not utilize the obtained technical materials for unjust purposes.,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85MAXXUM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。

9、Later,Minoulta has developed two cameras:one utilized microscopic components of Honeywell and the other has utilized the original mode components of the company.As a result,it has selected the self-designed automatic focus system through contrast and demonstration.They have held that it does not con

10、stitute the infringement relationship with the patent of Honeywell.Besides,the products have been promoted to American market as 85MAXXUM series.Given the excellent effect,the products have confirmed the status in American market.,1986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1987

11、年4月向美国新泽西州联邦地方法院提起诉讼。In 1986,Honeywell has made a warning to Minoulta and suspected its infringement.Upon negotiation failure,Honeywell has brought a lawsuit to American New Jersey Federal Local Court in April 1987.,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。The patent

12、strategies are not just limited to patent application such as technological publication,analysis,market dynamics and timely warning.The other party can purchase the information,conduct analysis,find out the defects and independently develop self-owned products.,双方的主张 Opinions of both parties原告(Honey

13、well公司）：本公司的自动聚焦技术在80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85MAXXUM系列照相机之际，故意侵犯了原告的4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。The plaintiff(Honeywell):The automatic focus technology of the company is known as“sovereign power”excellent technology in the camera manufacturing industry before 1980s

14、.During the technological publication agreement,Minoulta can not own the technology.It has deliberately infringed upon four patent technologies of the plaintiff during the development of 85MAXXUM series cameras and utilized obtained technological materials for unjust purposes.They belong to illegal

15、conducts.,被告（Minoulta公司）：Honeywell公司的技术有缺陷，因此，被告独自以本公司60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4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):Honeywell suffers from technological defects.Therefore,the defendant has in

16、dependently developed MAXXUM series cameras based on the research achievements in 1960s.The products have not infringed upon any patent.Furthermore,the patent technology has not raised ineffective announcement request to four patents by reasoning of existent technologies and optimal implementing cas

17、es.And signing of public technological agreement has been conducted under the deceit of Honeywell and shall be invalid.At that time,the same technical materials can be purchased from other companies at a lower price.,陪审判决结果 Jury judgement result 经76天审议各种证言及几千种证据，又经过6天半的评议，8名陪审员判定，Minoulta公司侵害了Honeyw

18、ell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4件专利中只有2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。Through auditing of various testimony and thousands of evidence through seventy-six days and evaluation through six and a half days,eight jurors have judged that Minoulta has infringed upon

19、 the patent of Honeywell.One patent is not infringed.Although the other patent is infringed,yet it has been judged into invalidation due to no creativitiy.As a result,only two of four patents advocated by Honeywell are valid and infringed.The planned patent infringement compensation is 960 million U

20、SD.However,these two patents refer to patents that will become mature in the second half year.,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,the jury has held that the infringement of Minoulta is not intentional.The court has dismissed

21、 the improper utilization of technical materials by Minoulta advocated by Honeywell.At the same time,it has dismissed the claim of Minoulta concerning“agreement has been signed under deceipt”.The case has been finally settled through mediation.,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

22、应该优先考虑的解决方式。During the lawsuit,both the plaintiff and defendant can raise their own opinions according to law(there are numerous judicial interpretations in China)such as deliberate infringement,invalid announcement request and so on.Besides,the mediation shall be the first solution to be considered

23、.,反应 Response 该案判决后，各方反应不一。After the judgment,various parties have difference responses.Minoulta方面表示，“今后仍然要对美国司法制度持信任态度”。Minoulta has expressed:“We shall still hold a trustworthy attitude towards American judicial system in the future”.Honeywell方面表示，如果被告是美国企业，确信会判为故意侵权。Honeywell has expressed that i

24、t shall confirm the deliberate infringement once the defendant is an American enterprise.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。The judge has expressed that world problems irrelevant to this case have not brought about any influence on the judgment.,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

25、是日本偷袭珍珠港50周年的事情。But more people hold that the occurrence of this incident is no coincidence during the escalation of Japan-America trade frictions and patent wars.Some people have thought about 50th anniversary of Japanese armys attacking Pearl Harbor.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

26、的教训。But the enterprises and intellectual property right field have attached more importance to the standard of infringement judgment,judgment of compensation sum and numerous problems in the legal procedures as well as lessons to be drawn.,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。The int

27、ellectual property right system needs a lot of improvements in certain regulations both at home and abroad.There is still a long way to go in pursuing a mature and effective enterprise patent strategies.,第一部分专利基本知识Part I Basic patent knowledge 1.专利制度的基本思想 1.Basic thought of patent system 1.技术的公开与技术的

28、独占是人类长期以来想解决而没有解决的一对矛盾。Technological publication and monopoly are a pair of contradiction mankind has long wanted to settle but failed to settle.2.专利制度的基本思想 Basic thought of patent system 技术的公开技术的持续发展 Technological publication sustainable development 技术的独占技术的有效保护 Technological monopoly effective pro

29、tection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。The patent system has tactically settled the contradiction between technological publication and monopoly.,专利制度Patent system,产业的发展Industrial development,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。In other words,it shall be offered to the new technological owners

30、as the compensation for new technological publication.It shall refer to the monopoly implementation right to the technology within a certain period of time.也可以说 We can also say that 公开是对公众社会尽的义务，Publication is the obligations to the public society.独占实施权则是一种授予的权利。Monopoly implementation right is a ki

31、nd of granted right.,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。Rights and obligations shall be corresponding to each other.The technological publication obligations must be fulfilled to enjoy the monopoly implementation right.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”have been stipulated in the

32、 patent law in detail.此乃专利制度的基本思想 This is the basic thought of patent system.也是专利制度，在世界范围内，兴盛不衰的原因之所在。It is also the reason for the eternal prosperity of patent system in the world.,2.做好专利工作的必要性 2.Necessity of patent work 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。Technologies

33、 are playing an increasing important role in the economic development.Therefore,the technological competition between enterprises has become increasing fierce.Good utilization of patent in the fierce competition and implementation of correct patent strategies will bring about great benefits to the e

34、nterprises.,独占市场，取得丰厚的利润：Monopolizing the market and gaining fruitful profits: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。The enterprises have plunged into huge amount of manpower and materials to develop new products and new technologie

35、s with the view to provide for consumers exclusively,at least for a certain period of time.The cost at the expense of compensated research,manufacturing and development aims to gain the maximum profits and expand the research and production again.The state is implementing the patent system to provid

36、e such protection for the enterprises or individuals.,例如：美国有一家复印机公司，10年内复印机销售额提高了20倍，利润提高了17倍，原因是14年内围绕该复印机先后共取得了189年项专利权，形成了专利网。For instance,one duplicator company in America has upgraded its sales volume by 20 times and profits by 17 times within ten years.The reason is that it has achieved 189 pa

37、tent rights concerning the duplicator within fourteen years and formed a patent network.,防止他人模仿本企业开发的新技术、新产品 Preventing others to simulate the new products and technologies developed by the enterprise一段时间以来，假冒相当猖獗 Counterfeit goods are very rampant for a certain period of time.对付它的办法，只能依靠专利，专利法第11条有

38、明确的规定。We have to settle the problem with patent.Article XI of Patent Law has very definite stipulations.,法11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。Article XI:After the inventions and practical new types of patent

39、s are granted,any unit or individual shall not implement the patents without the patentees approval except for other stipulations in the Patent Law.That is to say,they shall not engage in the manufacturing,utilization,promised sales,sales and import of the patent products for the production and busi

40、ness operation.They shall not utilize the patent methods and utilize,promise to sell,sell or import the products gained directly through the patent methods.,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。After the appearance design patent is granted,any unit or individual shall no

41、t implement the patents without patentees approval.That is to say,they shall not engage in manufacturing,sales and import of appearance design patent products for the purpose of production and business operation.专利技术可以作品商品出售 Patent technology can be sold as commodities.开头的话中所述案例就是最好的证明 The case desc

42、ribed in the beginning remarks is the best evidence.,专利权可以交叉许可 Patent right can be permitted in a crossed way 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。Technological field has become increasing broad.Any enterprise can not become perfect in all respects.But it can utilize its own pa

43、tent rights to replace the needed patent rights just like the patent right transfer in another form.专利具有很好的宣传效果。Patent right enjoys very good propaganda effect.,3.基本内容之一：七个“三”3.One of basic content:seven“three factors”1.专利权的三个基本属性：独占性、时间性、地域性；1.Patent right has three basic natures:monopoly,time and

44、region;独占性：专利权人对其拥有的专利权，具有独占的实施权；Monopoly:The patentee has the monopoly implementing right to the owned patent right.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:The monopoly implementing right of patentee has time limit;,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:The p

45、atent right is only effective within the territory of granting country.That is to say,the patent right granted by the patent bureau of a certain country according to law shall be only protected within the territory.They shall not be protected in those countries without any applications.思考题：如何利用专利权的时

46、间性、地域性？Question:How do we utilize the time and regional nature of patent right?,2.专利三性：新颖性、创造性、实用性 2.The patent right shall have three natures:new,creative and practical 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。Novelty shall refer to the condition that

47、the technology or product is new before the date of application.No same technology or product is in the open status.The open status means that the people can know it in a legal way.It is related to the knowledge of this technology or product.But it is not completely the same.专利实践中有大量的这样的例子。There are

48、 huge amount of such examples in the patent practice.,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）。Creativity shall refer to the condition that technology or product has outstanding,essential features and obvious progress(invention patent)than the same type of tech

49、nologies or products before the date of application,or has essential features and progress(practical new type)or has differences and industrial beauty(appearance design).实用性是指，在产业上是可以应用的，且是可以重复应用的。Practical nature shall refer to industrial and repeated application.,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

50、利申请能否授权的最基本的条件。The above three patent features are referred to as patentability.patentability is a highly important content in the Patent Law.It is the most basic condition for patent authorization.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:Please offer huge amount of examples in our daily life and work