DRAFT

Patent Protection Why is it Necessary?

Jacqueline Lui, PhDU.S. Registered Patent Agent

MANAGING DIRECTOREAGLE IP LIMITED

Hong Kong, BIP Dec 2011©All rights reserved

• Various Types of IP• Basic Patent Concepts• Quality vs Quantity• Tips and strategies

大纲

OUTLINE

知识产权保护之形式

FORMS OF IP PROTECTION

• 商业秘密与技术

TRADE SECRET AND KNOW-HOW

• 专利

PATENT / UTILITY MODEL

• 版权

COPYRIGHT

• 集成电路版图(拓扑图) IC LAYOUT DESIGNS (TOPOGRAPHIES)

• 设计注册

DESIGN REGISTRATION

• 商标

TRADE MARK

• 植物专利/植物多样性权利

PLANT PATENT / PLANT VARIETIES RIGHTS

• 域名

DOMAIN NAME

Copyright

• books, code of computer software, musical, dramatic, artistic works, films, broadcasts, cable programmes etc.

• arises upon fixation, automatic protection• Term of protection e.g. life of the author plus either 50 or 70

years after end of the author’s life

Industrial Design• Ornamental or aesthetic aspect of an article. • 3-D shape or surface, 2-D patterns, lines or color. • Does not protect any technical features.• Must be filed before public disclosure. • Must be new and/or original • Term of protection:

– US, 14 yrs– China 10 yrs– EU 25 yrs.

Innovation Patent• Process, machine, systems or compositions of matters• Functional and technical• Invention patent and utility model• Must be filed before public disclosure • New, inventive and of practical use. • Term of protection:

– 8-20 years from the filing date– Utility model or petty patent shorter protection

25o

AbC DeSiGn

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Copyright v.s. Design v.s. PatentExample 1

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Taller Person

AbC DeSiGn

Copyright v.s. Design v.s. PatentExample 1

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Shorter Person

AbC DeSiGn

Copyright v.s. Design v.s. PatentExample 1

What Kinds of Protection are Available?

Ab

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A b C D e Si G n

Ab

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A b C D e Si G n

Copyright

IndustrialDesigns *

Any chair with movable height but constant 250angle

Patent*Utility model*

*must be registered, absolute novelty

Copyright vs PatentNetworked gaming and community interaction

•ADC Technology, Inc. filed a patent infringement lawsuit against Microsoft, Nintendo and Sony in October 2008•For online communities and content gateways (Xbox Live, Virtual Console and the PlayStation Network) technology•ADC claims that its 5 patents collectively address the remote distribution of software to terminal devices and, specifically, the execution of such distribution in response to software purchases. •i.e. copyright covers the content of the game; patent covers technology that support the gaming industry

Example 2

We need patent protection to avoid loss of rights from changes in content

• Content is easy to change or copy: technology is not as easy

13

知识产权工业发展中的发展与执行 IP Development & Enforcement in the

History of Industrial Development

工业发展 INDUSTRIAL DEVELOPMENTDEVELOPMENT

初级工业Primary Industry

制造工业Manufacturing

知识经济 Knowledge Economy

缺乏IP保护Lacking IPProtection

侵权者Infringer

知识产 权状况 IP Status

工业 发展

Ind. Dev.

使用者User

生产者Generator

知识经济

THE KNOWLEDGE ECONOMY

• 超过70%发达经济体中的工人是知识型工人Over 70% of workers in developed economies are knowledge workers

• 财富500强企业超过70%的市场价值属于知识财产Over 70% of Market value of Fortune 500 firms in intellectual assets

• 中国 China

–现今竞争力取决于低成本和快速应对力Present competitiveness based on low-cost and rapid response

–未来竞争力需要依靠知识产权的进步Future competitiveness needs to be based on intellectual advances

But Quality of a patent difficult to determine

But don’t be discouraged. If done properly, patents are extremely valuable

防御性 Defensive盾 Shield

进攻型 Offensive剑 Sword

$$$

Ways to use a good patent

什么是专利？

WHAT IS A PATENT?

• 专利赋予权利人在特定期限及地域内排除他人制造，使用或销售 已要求保护之发明的权利

A patent gives the right to exclude others from making, using or selling a claimed invention within the specified period and jurisdiction

• 专利并不赋予权利人制造，使用及销售的权利，除非其：

A patent does NOT give the right to make, use or sell the invention UNLESS:

» 不侵犯其他专利之利益（运用自由）» it does not infringe on other patents (freedom-to-operate)

» 不违反国家法律法规 it does not violate the law of the state

专利组成部分

PARTS OF A PATENT

• 专利名称

TITLE

• 摘要

ABSTRACT

• 说明书

DESCRIPTION

• 绘图

DRAWINGS

• 权利要求

CLAIMS

19

A ∩ B ∩ CA ∩ B \ C

侵犯专利权

INFRINGEMENT of a PATENT

专利的权利要求决定了知识产权之范围 The claims of a patent determine the boundary of the intellectual property

权利要求中的所以要素或限制必须是： All elements or limitation in the claim must be present

• 文字上的 Literally; 或是 or• 有目的性 或等同的 purposively or equivalently

AB

C

范例：座椅发明

EXAMPLE: CHAIR INVENTION

权利要求结构 STRUCTURE of a CLAIM

内容 Subject matter

过渡条款 Transition clause

要素1 Element 1

要素2 Element 2

要素3 Element 3

限制1 Limitation 1

座椅 A chair

组成部分 comprising :

椅座部 a seat;

4条椅腿 four legs; and

后靠垫 a back panel

后靠垫连接到座椅的背面以搁 置使用者的背部

back panel attached to the back of the seat for resting the back of a user.

座椅权利要求范例

Example of a CLAIM for a Chair

供人坐的装置包括A device for sitting comprising :

躯干支撑部分，用以支撑人身 下体部位以及

a body support element for supporting a lower portion of a person thereon; and

基座部分，用以支持所述支撑 部分

a base element for supporting said supporting element thereon.

座椅包括A chair comprising :

座部，具有平面让人坐上去a seat with a flat surface for sitting by a person

thereon;

座部下面连有四条腿用以支撑以及 four legs attached under said seat for support

thereof; and

靠背， 与座部后边垂直连接，用以 支持人的背部

a back panel attached vertically to the back of the seat for resting the back of said person.

座椅的组成：A chair comprising :

座部，具有平面让人坐上a seat with a flat surface for sitting by a

person thereon;

座部下面连有四条腿用以支撑；

以及four legs attached under said seat for

support thereof; and

靠背，与座部后边垂直连接，用

以支持人的背部a back panel attached vertically to the

back of the seat for resting the back of said person.

哪一个侵权？WHICH ONE IS INFRINGING?

落座器具组成部分A device for sitting comprising :

躯干支撑部分，用以支撑人

身下体部位；以及a body support element for supporting a lower portion of a person thereon; and

底座部分，用以支持所述支

撑部分a base element for supporting said supporting element thereon.

哪一个侵权？WHICH ONE IS INFRINGING?

25

权利要求范围

CLAIM SCOPE

• 过于宽泛 Too broad– 缺乏“可专利性” Lack “patentability”– 容易被认定无效

Easy to invalidate

– 修狭后不容反悔

Estoppel problems

• 过于狭隘 Too narrow – 难于执行

Hard to enforce

– 容易被规避设计

Easy to “design around”

• 确定 Definite– 清楚地定义发明

Clearly define the invention

– 得到说明书支持

Supported by description

– 权利要求的描写

Written description

专利要求

PATENT REQUIREMENTS ‧一般要求 General

–发明人

Inventorship

–申请人权利

Rights of Applicant

–优先权

Priority Claims

–诚实披露(美国)

Duty of Candor (USA)

实体要求 Substantive–主题

Subject Matter

–实用性/工业可应用性

Utility / Industrial Applicability

–新颖性

Novelty

–创造性(非显而易见性) Inventive Step (Un-Obviousness)

–充分性(可实现性)

Sufficiency (Enablement)

–书面描述(美国) Written Description (USA)

27

发明 v.s. 专利的权利要求

Invention v.s. Patented claims

类型

特征 characteristics

TypeI 保护生产线 Protect product line

(对本公司有用useful to own firm)

II 基本专利（对其他公司有用）Basic patents (useful to other firms)1. 容易忽略技术 Easy to overlook technology2. 先占的、策略性 Pre-emptory, strategic3. 影响力

Leverage

III 主要世界级专利 Major world-class patents(须为产业内所有公司使用must be used by all firms in the industry)

根据可保护范围对发明的分类 CLASSIFICATION OF INVENTION ACCORDING TO

SCOPE OF PROTECTION

日立的例子 Hitachi Example

时期

Era1970 – 支付九千五百万美元许可费Paid $95 million

–专利赚得五百万美元Earned $5 million in patent trade

–净亏损九千万美元Net loss $90 million

1979 – Weistinghouse的侵权诉讼Infringement suit by Westinghouse

1970’s专利类型

Patent TypeI

1980’s专利类型

Patent TypeI, II

1985 – 专利账户不亏本Patent account went into black

– 成本中心　 利润中心Cost center TO profit center

1986 – TI的侵权诉讼 Infringement suit by TI

1990’s专利类型

PatentType I, II, III

每年收入三亿到四亿美元

Earning $300 - $400 million per year

商业价值

Commercial Value

Creating an IP Portfolio

• Creating a good patent portfolio takes too much time !• If I have the resources, can I buy one?

Answer :•Like any other valuable asset, you better know how to assess the value if you buy…•Do you know what is beneath the surface ….??beneath the surface ?

IP Trading : A Case Study• Sihuan Bio Co. Ltd (“Sihuan”), a listed company in Shenzhen Stock

Exchange, signed an agreement with VitaFarm Co. Ltd and Beijing Sihuan Co. Ltd (a wholly owned subsidiary of Sihuan): Sihuan to transfer 45% share of Beijing Sihuan to Vitafarm, a wholly owned foreign investment company set up the individual Mr. Gao Shiying, the patent owner. Vitafarm will transfer certain patents relating to cancer treatment in Australia and China to Sihuan

• Sihuan transferred the share as agreed• VitaFram and Gao Shiying failed to give any technical material to

Sihuan• Sihuan later found that AU 2007901333 “patent” was just the

provisional patent application number and lapsed in 2008; while the patents in China were not granted at all

• The patents were evaluated by Jiangsu Zhongtian Assets Evaluation Firm, valued at 114 million RMB under certain assumptions.

IP Trading : Another Case Study• Patent battle between Apple and a few other smartphone makers.• ITC initial determination: Apple infringed two S3 Graphics owned

patent.• HTC paid 300 million USD for S3, before checking on the details.

• When details release, it is Apple’s Mac Computers potentially infringe S3’s patent, NOT Apple’s mobile devices.

• ITC final ruling: Apple’s Mac Computers do not infringe on S3’s patent.

• Four months before ITC’s final ruling, Winston Yung, CFO of HTC Corp., claimed that the S3 patents is about wide range usage, about other devices too…

Conclusion• HK, even China are now too expensive to compete only on price

and speed• High value added products must have uniqueness with IP

potection to avoid copy cats– Designs– Improvements– Innovations– Technical solutions & ideas

• IP protection, especially patents, is extremely complex• Very high level of awareness and expertise is required

– Planning stage– Designing & innovating stage– Drafting and prosecution stage– Commercialization, enforcement stage

• Allocate sufficient resources• Get the right professionals

Our Team

非常感谢 祝君有个成功的知识产权组合

THANK YOU HAPPY IP BUILDING

Eagle IP LimitedTel : (852) 8101 4006Fax : (852) 8202 4006Email : eip@eip.hkWebsite : www.eip.hk

mailto:eip@eip.hkhttp://www.eip.hk/

Slide Number 1大纲 OUTLINE知识产权保护之形式 FORMS OF IP PROTECTIONCopyrightIndustrial DesignInnovation PatentCopyright v.s. Design v.s. PatentCopyright v.s. Design v.s. PatentCopyright v.s. Design v.s. PatentWhat Kinds of Protection are Available?Copyright vs PatentWe need patent protection to avoid loss of rights from changes in content知识产权工业发展中的发展与执行�IP Development & Enforcement in the �History of Industrial Development知识经济 THE KNOWLEDGE ECONOMYBut Quality of a patent difficult to determineBut don’t be discouraged. If done properly, patents are extremely valuable�什么是专利？ WHAT IS A PATENT?专利组成部分 PARTS OF A PATENT�侵犯专利权 INFRINGEMENT of a PATENT �范例：座椅发明 EXAMPLE: CHAIR INVENTION权利要求结构 STRUCTURE of a CLAIM座椅权利要求范例 Example of a CLAIM for a ChairSlide Number 23Slide Number 24权利要求范围 CLAIM SCOPE专利要求 PATENT REQUIREMENTS 发明 v.s. 专利的权利要求 Invention v.s. Patented claims根据可保护范围对发明的分类�CLASSIFICATION OF INVENTION ACCORDING TO�SCOPE OF PROTECTION日立的例子 Hitachi ExampleCreating an IP PortfolioIP Trading : A Case StudyIP Trading : Another Case StudyConclusionOur Team非常感谢�祝君有个成功的知识产权组合 ���THANK YOU �HAPPY IP BUILDING���