企業(yè)應(yīng)用專利戰(zhàn)略EnterprisePatentApplicationStrategies清

1、企業(yè)應(yīng)用專利戰(zhàn)略Enterprise Patent Application StrategiesProfessor of Tsinghua University and Patent Agent Ding Yinglie 2008.71企業(yè)應(yīng)用專利戰(zhàn)略Enterprise Patent Application Strategies開頭的話：發(fā)人深思的專利侵權(quán)案Beginning remark: Patent Infringement Case Requiring Deep Thinking企業(yè)專利的重要性Importance of enterprise patent 企業(yè)專利戰(zhàn)略是經(jīng)營戰(zhàn)略的重

2、要一環(huán)Enterprise patent strategies shall refer to one important procedure of its business strategies 2事件的經(jīng)過 Process: 早在70年代，經(jīng)營建筑、航天業(yè)的美國Honeywell公司，對微電子應(yīng)用產(chǎn)生了濃厚的興趣，并在自動聚焦領(lǐng)域開花結(jié)果。自1975至1977年間獲得美國四項專利，即美國第3806935,3875401,4002899專利及29,599號再發(fā)行專利。其有效期滿日期為19921994年。 Early in 1970s, American Honeywell engaged in

3、 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-publi

4、cation patent. The validity is 1992-1994. 31979年Honeywell公司就自動聚焦技術(shù)召集世界主要照相機廠家召開了技術(shù)公開會，締結(jié)所謂“技術(shù)公開協(xié)議” (advance disclosure agreement)，日本的 Minoulta與會并簽了字，還花了8萬5千美元買了Honeywell公開的有關(guān)技術(shù)資料。其微型組件不久將公開銷售。當時，Honeywell公司要求各廠家把該組件作為標準件用于各廠家的照相機上，并由Honey well提供這種組件。 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 Hone

6、ywell. 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. 4 經(jīng)研究，Minoulta公司認為Honeywe

7、ll公司的組件有缺陷，決定獨自開發(fā)自動聚焦系統(tǒng)，并通知Honeywell公司。因此Honeywell公司特別指出， Minoulta公司不得將該組件用于其照相機上，且不得將得到的技術(shù)資料用于不正當?shù)哪康摹?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 s

8、pecially pointed out that Minoulta shall not utilize the components in the cameras and shall not utilize the obtained technical materials for unjust purposes. 5后來， Minoulta公司開發(fā)了兩種照相機，一種用的是Honeywell公司的微型組件，一種用本公司的原型組件，結(jié)果，經(jīng)對比論證，選定了本公司自行設(shè)計的自動聚焦系統(tǒng)，他們認為與 Honeywell 公司中的專利不構(gòu)成侵權(quán)關(guān)系，并且作為85MAXXUM系列，推向美國市場，效果很好

9、，從而確立了在美國市場的地位。 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

10、 that it does not constitute 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. 6 1986年Honeywell公司向Minoulta公司提出警告，懷疑 Minoult

11、a 侵權(quán)，經(jīng)協(xié)商無效， Honeywell公司于1987年4月向美國新澤西州聯(lián)邦地方法院提起訴訟。 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. 7 專利戰(zhàn)略決非申請專利了事， 諸 如技術(shù)的公開，分析、市場動態(tài)，及時提出警告；另一方則購入情報，進行分

12、析，切實找出不足，獨立開發(fā)自主產(chǎn)品是不可不做的。 The patent 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 product

13、s. 8雙方的主張 Opinions of both parties原告(Honeywell公司）：本公司的自動聚焦技術(shù)在80年代前期是照相機行業(yè)堪稱“圣權(quán)”的優(yōu)秀技術(shù)，在締結(jié)技術(shù)公開協(xié)議時，Minoulta公司不可能擁有這項技術(shù)，在開發(fā)85MAXXUM系列照相機之際，故意侵犯了原告的4項專利技術(shù)，而且將得到的技術(shù)資料用于不正當目的，實屬違約。 The plaintiff (Honeywell): The automatic focus technology of the company is known as “sovereign power” excellent technology in

14、 the camera manufacturing industry before 1980s. 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 mat

15、erials for unjust purposes. They belong to illegal conducts. 9被告（Minoulta公司）：Honeywell公司的技術(shù)有缺陷，因此，被告獨自以本公司60年代研究的成果為基礎(chǔ)開發(fā)了MAXXUM系列照相機，該產(chǎn)品沒有侵犯任何的專利權(quán)。并以專利技術(shù)沒有指出已有技術(shù)及最佳實施例等為理由，對4項專利提出了無效宣告請求。另外，技術(shù)公開協(xié)議的簽署是在Honeywell公司的欺騙下進行的，也應(yīng)是無效的，還有，在當時可以用更便宜的價格從其他公司買到同樣的技術(shù)資料。 Defendant (Minoulta): Honeywell suffers fr

16、om technological defects. Therefore, the defendant has independently 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 rea

17、soning of existent technologies and optimal implementing cases. 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. 10陪審判決結(jié)果 Jury judgem

18、ent result 經(jīng)76天審議各種證言及幾千種證據(jù)，又經(jīng)過6天半的評議，8名陪審員判定，Minoulta公司侵害了Honeywell公司的專利，一項專利未被侵害，另一項雖被侵權(quán)，但因不具創(chuàng)造性被判為無效，其結(jié)果為Honeywell的主張的4件專利中只有2件有效且被侵害，擬判專利侵權(quán)賠償金額為九億六千萬美元，然而這兩件專利是當年后半年將到期的專利。 Through auditing of various testimony and thousands of evidence through seventy-six days and evaluation through six and a h

19、alf days, eight jurors have judged that Minoulta has infringed upon 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

20、 infringed. The planned patent infringement compensation is 960 million USD. However, these two patents refer to patents that will become mature in the second half year. 11另外，陪審還認為，Minoulta的侵權(quán)不是故意的。駁回Honeywell公司主張的，Minoulta公司不當使用了技術(shù)資料，同時也駁回了Minoulta“協(xié)議是在欺騙下簽署的”主張，該案最終是和解解決的。 Besides, the jury has he

21、ld that the infringement of Minoulta is not intentional. The court has dismissed 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 finall

22、y settled through mediation. 訴訟過程中，原、被告都可以依法（中國還有多項司法解款）提出自己的主張，如故意侵權(quán)，無效宣告請求等。另外，和解是應(yīng)該優(yōu)先考慮的解決方式。 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 announce

23、ment request and so on. Besides, the mediation shall be the first solution to be considered. 12反應(yīng) Response 該案判決后，各方反應(yīng)不一。 After the judgment, various parties have difference responses. Minoulta方面表示，“今后仍然要對美國司法制度持信任態(tài)度”。 Minoulta has expressed: “We shall still hold a trustworthy attitude towards Americ

24、an judicial system in the future”. Honeywell方面表示，如果被告是美國企業(yè)，確信會判為故意侵權(quán)。 Honeywell has expressed that it shall confirm the deliberate infringement once the defendant is an American enterprise. 擔任此項審理法官則表示，與這件事無關(guān)的世界性問題，并沒有對這次審理構(gòu)成任何影響。 The judge has expressed that world problems irrelevant to this case h

25、ave not brought about any influence on the judgment. 13但更多的人認為，該事件的發(fā)生正值日美貿(mào)易摩擦升級，專利戰(zhàn)日益加劇之際不是偶然的，還有人聯(lián)系到當年正是日本偷襲珍珠港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

26、50th anniversary of Japanese armys attacking Pearl Harbor. 而企業(yè)界，知識產(chǎn)權(quán)界則更重視判斷侵權(quán)的標準、賠償金額的裁定及法律程序上的諸多問題，應(yīng)吸取什么有益的教訓。 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

27、legal procedures as well as lessons to be drawn. 14知識產(chǎn)權(quán)制度不僅在國內(nèi)，在國際上還有不少待完善的規(guī)則，追求一種成熟的，有效的企業(yè)專利戰(zhàn)略，還有很多路要走。The intellectual 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 pat

28、ent strategies. 15第一部分專利基本知識Part I Basic patent knowledge 1.專利制度的基本思想 1. Basic thought of patent system 1.技術(shù)的公開與技術(shù)的獨占是人類長期以來想解決而沒有解決的一對矛盾。 Technological publication and monopoly are a pair of contradiction mankind has long wanted to settle but failed to settle. 2.專利制度的基本思想 Basic thought of patent sy

29、stem 技術(shù)的公開技術(shù)的持續(xù)發(fā)展 Technological publication sustainable development 技術(shù)的獨占技術(shù)的有效保護 Technological monopoly effective protection專利制度巧妙地解決了技術(shù)的公開與技術(shù)獨立之間的矛盾。The patent system has tactically settled the contradiction between technological publication and monopoly. 專利制度Patent system產(chǎn)業(yè)的發(fā)展Industrial developmen

30、t16換句話說：作為新技術(shù)被公開的一種補償，賦予新技術(shù)擁有者，在一定期間內(nèi)，對于該技術(shù)的獨占實施權(quán)。 In other words, it shall be offered to the new technological owners as the compensation for new technological publication. It shall refer to the monopoly implementation right to the technology within a certain period of time. 也可以說 We can also say th

31、at 公開是對公眾社會盡的義務(wù)， Publication is the obligations to the public society. 獨占實施權(quán)則是一種授予的權(quán)利。 Monopoly implementation right is a kind of granted right. 17 權(quán)利和義務(wù)應(yīng)該是對等的。若想享有獨占的實施權(quán)利就必須盡技術(shù)公開的義務(wù)。 Rights and obligations shall be corresponding to each other. The technological publication obligations must be fulfi

32、lled to enjoy the monopoly implementation right. 而“權(quán)利”和“義務(wù)”，在專利法的條文中都有具體的詳盡的規(guī)定。 “Rights” and “obligations” have been stipulated in the patent law in detail. 此乃專利制度的基本思想 This is the basic thought of patent system. 也是專利制度，在世界范圍內(nèi)，興盛不衰的原因之所在。 It is also the reason for the eternal prosperity of patent sy

33、stem in the world. 182.做好專利工作的必要性 2. Necessity of patent work 技術(shù)在經(jīng)濟發(fā)展中所起的作用日益增長，因而企業(yè)之間的技術(shù)競爭愈來愈激烈，在此競爭中用好專利，實施正確的專利戰(zhàn)略將給企業(yè)帶來巨大的好處。 Technologies are playing an increasing important role in the economic development. Therefore, the technological competition between enterprises has become increasing fierc

34、e. Good utilization of patent in the fierce competition and implementation of correct patent strategies will bring about great benefits to the enterprises. 19獨占市場，取得豐厚的利潤： Monopolizing the market and gaining fruitful profits: 企業(yè)花了大量的人力、物力開發(fā)了新產(chǎn)品、新技術(shù)，希望能獨家向消費者提供，至少在一段時間內(nèi)是如此，以補償研制，開發(fā)所付出的成本，獲取最大的利潤，擴大再研

35、究再生產(chǎn)，國家正是通過施行專利制度，對企業(yè)或者個人提供這種保護的。 The enterprises have plunged into huge amount of manpower and materials to develop new products and new technologies with the view to provide for consumers exclusively, at least for a certain period of time. The cost at the expense of compensated research, manufactu

36、ring and development aims to gain the maximum profits and expand the research and production again. The state is implementing the patent system to provide such protection for the enterprises or individuals. 20 例如：美國有一家復(fù)印機公司，10年內(nèi)復(fù)印機銷售額提高了20倍，利潤提高了17倍，原因是14年內(nèi)圍繞該復(fù)印機先后共取得了189年項專利權(quán)，形成了專利網(wǎng)。 For instance,

37、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 patent rights concerning the duplicator within fourteen years and formed a patent network. 21防止他人模仿本企業(yè)開發(fā)的新技術(shù)、新產(chǎn)品 Preventing others to simulate

38、the new products and technologies developed by the enterprise一段時間以來，假冒相當猖獗 Counterfeit goods are very rampant for a certain period of time. 對付它的辦法，只能依靠專利，專利法第11條有明確的規(guī)定。 We have to settle the problem with patent. Article XI of Patent Law has very definite stipulations. 22法11條： 發(fā)明和實用新型專利權(quán)被授予后，除本法另有規(guī)定的

39、以外，任何單位或者個人未經(jīng)專利權(quán)人的許可，都不得實施其專利，即不得為生產(chǎn)經(jīng)營目的制造、使用、許諾銷售，銷售、進口其專利產(chǎn)品，或者使用其專利方法，以及使用、許諾銷售、銷售、進口依照該專利方法直接獲得的產(chǎn)品。 Article XI: After the inventions and practical new types of patents are granted, any unit or individual shall not implement the patents without the patentees approval except for other stipulations

40、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 business operation. They shall not utilize the patent methods and utilize, promise to sell, sell or import the products gained di

41、rectly through the patent methods. 23外觀設(shè)計專利權(quán)被授予后，任何單位或者個人未經(jīng)專利權(quán)人許可，都不得實施其專利，即不得為生產(chǎn)經(jīng)營目的制造、銷售、進口其外觀設(shè)計專利產(chǎn)品。 After the appearance design patent is granted, any unit or individual shall not implement the patents without patentees approval. That is to say, they shall not engage in manufacturing, sales and

42、import of appearance design patent products for the purpose of production and business operation. 專利技術(shù)可以作品商品出售 Patent technology can be sold as commodities. 開頭的話中所述案例就是最好的證明 The case described in the beginning remarks is the best evidence. 24 專利權(quán)可以交叉許可 Patent right can be permitted in a crossed way

43、技術(shù)領(lǐng)域日益寬廣，任何一家企業(yè)不可能面面俱到，可以利用自己的專利權(quán)換取自己需要的專利權(quán)，相當于另一種形式的專利權(quán)轉(zhuǎn)讓。 Technological field has become increasing broad. Any enterprise can not become perfect in all respects. But it can utilize its own patent rights to replace the needed patent rights just like the patent right transfer in another form. 專利具有很好

44、的宣傳效果。 Patent right enjoys very good propaganda effect. 253.基本內(nèi)容之一：七個“三” 3. One of basic content: seven “three factors” 1.專利權(quán)的三個基本屬性：獨占性、時間性、地域性； 1. Patent right has three basic natures: monopoly, time and region; 獨占性：專利權(quán)人對其擁有的專利權(quán)，具有獨占的實施權(quán)； Monopoly: The patentee has the monopoly implementing right

45、to the owned patent right. 時間性：專利權(quán)人的獨占實施權(quán)是有時間限制的，不是永久的； Time: The monopoly implementing right of patentee has time limit; 26 地域性：專利權(quán)的權(quán)限有效地區(qū)，只限于專利權(quán)授予國的領(lǐng)土上，也就是說，經(jīng)某國專利局依法授予的專利權(quán)，只在該國領(lǐng)域內(nèi)受到保護，而在那些未申請的國家，則不受保護。 Region: The patent right is only effective within the territory of granting country. That is to

46、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. 思考題：如何利用專利權(quán)的時間性、地域性？Question: How do we utilize the time and regional nature of patent right

47、? 272.專利三性：新穎性、創(chuàng)造性、實用性 2. The patent right shall have three natures: new, creative and practical 新穎性是指，在申請日之前，該技術(shù)或產(chǎn)品應(yīng)該是新的，沒有同樣的技術(shù)或產(chǎn)品處于公開的狀態(tài)。處于公開的狀態(tài)，表示人們可以合法地得知，和該技術(shù)或產(chǎn)品是否被得知有關(guān)系，但不是完全等同的。 Novelty shall refer to the condition that the technology or product is new before the date of application. No same

48、 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. 專利實踐中有大量的這樣的例子。 There are huge amount of such examples in the patent practice. 28 創(chuàng)造性是指，該技術(shù)

49、或產(chǎn)品比申請日前的同類技術(shù)或產(chǎn)品有突出的，實質(zhì)性特點和顯著進步（發(fā)明專利），或有實質(zhì)性特點和進步（實用新型）或者有區(qū)別和工業(yè)美感（外觀設(shè)計）。 Creativity shall refer to the condition that technology or product has outstanding, essential features and obvious progress (invention patent) than the same type of technologies or products before the date of application, or has

50、 essential features and progress (practical new type) or has differences and industrial beauty (appearance design). 實用性是指，在產(chǎn)業(yè)上是可以應(yīng)用的，且是可以重復(fù)應(yīng)用的。 Practical nature shall refer to industrial and repeated application. 29 以上專利三性，簡稱專利性。在專利法中，專利性是十分重要的內(nèi)容，它是專利申請能否授權(quán)的最基本的條件。 The above three patent features ar

51、e referred to as patentability. patentability is a highly important content in the Patent Law. It is the most basic condition for patent authorization. 思考題：從日常生活和工作中舉大量例子來說明是否具有專利三性Question: Please offer huge amount of examples in our daily life and work to explain three patent features. 30 3. 三種專利、

52、中國專利法保護：發(fā)明專利，實用新型專利，外觀設(shè)計專利三種。 3. Three patents and protection by Chinese Patent Law: invention patent, practical new patent and appearance design patent. 發(fā)明專利，是指對產(chǎn)品、方法或者其改進所提出的新的技術(shù)方案，如上所述應(yīng)有相當?shù)陌l(fā)明高度，即突出的實質(zhì)性特點和顯著進步。 Invention patent shall refer to new technical plans raised to the products, methods or

53、improvement. For instance, the above mentioned content shall have a certain invention height which refers to outstanding essential features and obvious progress. 31 實用新型，是指對產(chǎn)品的形狀、構(gòu)造或者其結(jié)合所提出的適于實用的新的技術(shù)方案，對其發(fā)明的高度要求比發(fā)明專利低，即實質(zhì)性特點和進步。 Practical new type patent shall refer to new technical plan applicable

54、to real practice raised to the product shape, structure or its integration. Its invention height shall be lower than the invention patent which means essential features and progress. 外觀設(shè)計，是指對產(chǎn)品的形狀、圖案或者其結(jié)合以及色彩與形狀、圖案的結(jié)合所作出的富有美感并適用于工業(yè)應(yīng)用的新設(shè)計。 Appearance design shall refer to new design with a sense of b

55、eauty and applicable to the industrial utilization conducted to the product shape, pictures or their integration as well as integration of color, shape and pictures. 32商標Trademark形狀、構(gòu)造新方案實用新型Shape and structure new plan-practical new type patent產(chǎn)品、技術(shù)的方案發(fā)明專利Product and technological plan -invention p

56、atent外觀形狀、色彩的設(shè)計外觀設(shè)計Appearance, shape and color design -appearance design產(chǎn)品與三項專利的關(guān)系Relationship between products and three patents334.巴黎公約三原則 4.Three principles of Paris Convention 巴黎巴約是關(guān)于保護工業(yè)產(chǎn)權(quán)的國際組織（工業(yè)產(chǎn)權(quán)中包括了專利權(quán)），世界上絕大多數(shù)的國家都是該組織的成員。 Paris Convention Organization is an international organization conce

57、rning protection of industrial ownership (the industrial ownership has included the patent right). Most of the countries in the world are members of this organization. 巴黎公約組織定有三原則，稱為巴黎公約原則： Paris Convention organization has three principles which are called Paris Convention principles: 獨立原則，國民待遇原則，國

58、際優(yōu)先權(quán)原則。顧名思義，三原則規(guī)定了在工業(yè)產(chǎn)權(quán)方面，成員國之間應(yīng)遵循的原則，解決了很多相互申請專利的難題。 Independent principle, citizen treatment principle and international preemptive right principle. As their names imply, three principles have stipulated the contents membership countries shall be in strict adherence to concerning industrial owners

59、hip. They have settled a lot of difficulties in the mutual patent application. 34 獨立原則，在專利法的立法方面，如保護什么，如何保護都由本國自行決定，成員國之間都是相互獨立的。不過隨著國際化的發(fā)展，這個原則有逐漸弱化的趨勢。 Independent principle shall be decided by the country itself in the legislation of patent law such as protection content and measures. The members

60、hip countries are independent to each other. But this principle has a weakening tendency with the internationalization. 國民待遇原則，是指成員國之間，在專利申請、專利保護、專利轉(zhuǎn)讓等活動中，相互給予國民待遇，一視同仁，不允許搞什么內(nèi)外有別。 Citizen treatment principle shall refer to citizen treatment and equality between membership countries in the patent ap