利用专利信息降低企业IP风险.pdf

Patent Information As A Tool To Reduce Corporate IP Risks 利用专利信息降低企业利用专利信息降低企业IP风险风险 Sponsored by Beijing Key industries Intellectual Property Alliance 北京市重点产业知识产权联盟北京市重点产业知识产权联盟 Robert J. Gaybrick罗伯特罗伯特 J 盖伊布里克盖伊布里克 Morgan, Lewis EP分类表 Online file histories (/epoline)；网上案卷历史 Public file inspection (/view/GetDossier)；公众案卷查阅 11 Where To Search Public Databases 在哪里进行检索 公共数据库 IP Australia (.au/patents/search_index.shtml)；澳大利亚知 识产权 Published patent data；公开的专利数据 by number；号码检索 keyword search；关键词检索 pdfs available in some cases；某些案件具有PDF格式 Classified by IPC；IPC分类 IP Organizers (.au)；知识产权组 织 Australian file histories for a fee；付费检索澳大利亚案卷历史 12 Where To Search Public Databases 在哪里进行检索 公共数据库 Canadian Intellectual Property Office (http:/cipo.gc.ca)；加拿大知识产权局 Bilingual (French/English)；双语（法语/英语） Search Canadian patents and published applications (last 75 years)；检 索加拿大专利和公开的专利申请（最近75年） Maintenance fee information available；可以获得维持费信息 “Availability of license” field provided；提供“许可可获得性” Administrative Status；管理状态 Lists of web-sites for worldwide patent offices；世界各国 专利局的网站名单 http:/www.piperpat.co.nz/resource/patoff.html 13 Where To Search Public Databases 在哪里进行检索 公共数据库 English access to the Japan Patent Offices Industrial Property Digital Library (IPDL) which includes searchable databases for Japanese patents, utility models, designs, and trademarks. 检索日本专利局工业产 权数字图书馆（IPDL）的英文入口，该图书馆包括日本发明、实用新型、 外观设计和商标的检索数据库 http:/www.ipdl.inpit.go.jp/homepg_e.ipdl Direct link for searching patents and utility models: 检索专利和实用新型 的直接链接 http:/www4.ipdl.inpit.go.jp/Tokujitu/tjsogodben.ipdl?N0000=115 Direct link for searching designs: 检索外观设计的直接链接 http:/www4.ipdl.inpit.go.jp/Isyou/dgde_top.ipdl?N0000=3100 Direct link for searching trademarks: 检索商标的直接链接 http:/www3.ipdl.inpit.go.jp/cgi-bin/ET/ep_main.cgi?1196226523523 14 Where To Search Public Databases 在哪里进行检索 公共数据库 Lexis ()；Lexis US, EP, WO patent documents；US, EP和WO专利文献 US File histories (CD-Rom)；US案卷历史（光盘） Machine-translations of JP patents (flat fee)；日本专利的机器译 文（收取固定费用） Delphion/Westlaw ()； Delphion/Westlaw U.S. (Patents/Publications)；US（专利/公开的专利申请） EP (Patents/Applications)；EP（专利/公开的专利申请） PCT Publications；PCT专利申请 JP abstracts；JP摘要 DE (Patents/Applications)；德国（专利/公开的专利申请） 15 Where To Search Commercial Databases 在哪里进行检索 商业数据库 Dialog/Derwent (Thompson)；Dialog/德温特（汤姆森） PCT publications；PCT申请公开 Full-Text patents；全文专利 Worldwide / Family data；全世界/同族数据 Non-patent publications；非专利出版物 Searchable by assignee/inventors；可通过受让人/发明人进行检 索 INPADOC (http:/www.european-patent- /inpadoc/index.htm)；INPADOC Accessed through Dialog；通过Dialog进入 Patent legal status information；专利法律状态信息 Searchable by assignee/inventors；可通过受让人/发明人进行检 索 16 Where To Search Commercial Search Firms 在哪里进行检索 商业检索公司 Questel-Orbit ( Contract patent searching；契约式专利检索 Private contract searching；私人契约检索 17 Who Should Search? 谁应当进行检索谁应当进行检索 In house searching lowers cost and increases the ability to respond to changes in design and to consider subcomponent designs；由公司内部人员进行检索不仅降低费用 并且提高了改变设计及考虑替代部件设计的回应能力 What type of search - Looking for patents that affect your freedom to operate (FTO) or to find prior art?哪种类型的检索 寻找能够影响你自由操作（FTO）或者检索现有技术 的专利 Effort may track investment and potential damages；这些努力可为投资和潜在赔偿金提供计算 路径 Scope of search；检索范围 Patents only；仅限于专利 Plus literature；外加技术文献 Set up patent watch for automatic notification of patents issuing in selected classification；进行 专利监控，以便获得指定类别内的专利授权自动通知 “Bet the company” search usually requires further effort by external searchers and consideration by patent attorneys；“按公司”进行检索通常需要由外部检索人员更多的工 作和专利律师的意见 Manual searching of files at USPTO, JPO, EPO；在USPTO, JPO和EPO手工检索案卷 University research libraries；检索大学图书馆 IEEE and other publications；检索IEEE和其他出版物 18 When To Search? 何时进行检索？ How early to start the searches for products under development?对开发中 的产品应该提前多久开始进行产品检索？ If in initial research phase, it could be too early and search focus could be too broad or inaccurate inefficient and ineffective；如果在最初的研究阶段，有可能 时间过早，而且检索目标会过宽或者不准确效率低 If product design is finished, it is too costly to modify design and may be too late to in-license may not lower litigation risk；如果产品设计已经完成，则修改设计 的成本会过高并且对于许可谈判可能过晚可能不会降低诉讼风险 Balance between selecting too many research projects to search and failing to have results available when they can be useful；存在两个极端：选择过多检索项 目进行检索与检索结果可能很有用时却没有这些结果，需要在两者中进行平衡 Continuous monitoring is helpful to keep apprised of patents that may affect project direction and to communicate IP constraints on designs；进行持续 监控有助于获知可能影响项目方向的专利情况以及交流产品设计中的IP限制 Compromise - Perform informal search during initial research phase and follow up with formal search when designs become more concrete but are still not final；折衷 - 在最初研究阶段进行非正式检索，而当设计目标逐渐明 确却还没有确定最终方案之前开始进行正式检索 19 Advantages Of Constant Monitoring 持续监控的优点持续监控的优点 Get timely notice of patents that affect your company； 对于那些可能对公司造成影响的专利，能够及时获得通知 Allows you to keep up to date and build on previous searches ；允许你更新先前的检索并在此基础上进行构 建 See issues before R 也可能是责任的来源 33 Analysis Strategies 分析策略分析策略 Sorting:类型 Use combination of keyword, structure and/or sequence；采用关键词、结构和/或序列表组 合进行检索 Sort for issued patents only?仅授权专利？ Sort for keywords in claims?权利要求中的关键 词？ Sort for components in claims?权利要求中的 组分或组成？ 34 Working With Outside Counsel 与外部律师合作与外部律师合作 Conduct internal search first；首先进行内部检索 Classify relevant hits according to perceived relevance； 根据相关程度将相应的击中目标分类 Discuss results with outside counsel to determine if more searching is required and to focus evaluation on the most relevant patents；与外部律师讨论检索结果以确定 是否需要进一步检索，并且将评论重点集中在最相关的专 利上 Constant communication；坚持交流 Designers In house IPOutside Counsel 设计者 内部IP人员外部律师 35 Types Of Searches 检索种类 State of the Art useful to researchers in understanding the level of technology in a field of interest, provides general picture of what companies are active in particular technology areas, useful to management in deciding if company should enter product market；现有技术状态 有助于检索人员理解本领域的技术发展程度，了解哪些公司 在特定技术领域非常活跃，有助于管理层决定该进入哪些产品市场 Freedom to Operate (FTO)- broadest inquiry to analyze designs of actual or potential systems and components in view of the disclosure, claims, ownership, and geographic scope of issued patents and published applications；自由操作（FTO）- 鉴于授权专利和公开专利申请的公开内容、权利要求、所有人和地域范围，进行广泛 调查，以便分析现有的和可能的系统及部件所能够进行的设计 Right to Use a species of an FTO that looks only at the independent claims of issued patents to identify if the claims read on the product design；有权使用 FTO的 一种，仅检索授权权利要求的独立权利要求，以便确定是否该权利要求涵盖了本产品 Validity object is to find each limitation of each relevant claim of a target patent in a single prior art reference or in a combination of prior art references；有效性 其目的 是在单独文献或者现有文献组合中发现目标专利的各相关权利要求的各要素 Ownership search through the assignment records to identify th