第三章中外专利文献 3 1 专利基础知识 3

第三章中外专利文献 § 3. 1 专利基础知识 § 3. 2 中国美国日欧 WIPO 专利检索 § 3. 3 化学发明专利申请文件的撰写 § 3. 4 如何申请专利

§ 3. 1 专利基础知识一. 专利文献概述 • 专利（Patent）是知识产权的一种。专利文献是一种重要的信息源，它是专利申请人向政府递交的说明新发明创造的书面文件。此文件经政府审查、试验、批准后，成为具有法律效力的文件，由政府印刷发行。 • 专利文献不仅具有实用性，而且反映了世界技术与发展动向。例如，可从申请新专利的数量、内容和批准情况的数据进行分析、预测最活跃的技术领域的发展趋势，还可根据专利文献所报道的优先权日期、发明人及专利所有者的名称、研究单位的地址，将技术发展与业结构联系起来，了解某国业生产的水平，或某一个企业的技术活动趋势。

• 中国专利局, 《中华人民共和国专利法》。 • 由欧洲 16国达成的欧洲专利协定, 只需用英、德、法文中的任何一种文字，通过单一的申请，即可取得 16国的专利保护，称为“欧洲专利”，代码为“EP”。 • 知识产权是人们利用知识获得成果的专有权。知识产权是相对实物产权而言的，所以也叫智力成果权。知识产权受法律保护，任何人未经知识产权所有人的许可，不准使用、制造或销售其成果，否则就构成侵权行为，并受到法律的制裁。

知识产权包括：业产权和版权两部分。例如发明创造、科技论著、文学作品、软件程序、音乐作品等均属于知识产权的范畴。 1. 业产权: 业产权是涉及到业、农业、商业、采掘业和一切制造成品或天然产品的产权。包括：专利、商标(trademarks)、服务标记、厂商名称、货源名称或原产地名称和制止不正当竞争等。 2. 版权 copyrights 也称著作权 © ，指作者或出版者对其作品享有印刷、出版、复制和销售等权利。 • 知识产权受法律的保护，却受到国界与时间的限制。 • 在一个国家授予的知识产权，只在该国家有效，受法律保护，若想在其它国家受到保护，则需另行申请并批准； • 各国法律均规定了知识产权的保护期限，如超过保护期，则自动失效，成为人类共同的财产，谁都可无偿使用。

二. 专利文献的类型专利（Patent）一词包含三层含义：一指专利法保护的发明；二指专利权；三指专利说明书等专利文献。其核心是受专利法保护的发明，而专利权和专利文献是专利的具体体现。 • 从广义上解释，专利文献包括：专利说明书、专利公报、专利检索具、专利分类表、与专利有关的法律文件及诉讼资料等。 • 从狭义上解释，专利文献就是专利说明书。它是专利申请人向专利局递交的说明发明创造内容及指明专利权利要求的书面文件，既是技术性文献，又是法律性文件。

由于各国的专利法不同，专利种类的划分也不尽相同。美国分为发明专利、外观设计专利和植物专利。中国、日本、德国等国分为发明专利、实用新型和外观设计专利。 1) 发明专利: 国际上公认的应具备新颖性、先进性和实用性的新产品或新方法的发明。 2) 实用新型专利: 对机器、设备、装置、器具等产品的形状构造或其结合所提出的实用技术方案。其审查手续简单，保护期较短。 3) 外观设计专利: 指产品的外形、图案、色彩或其结合作出的富有美感而又适于业应用的新设计。使用新型专利和外观设计专利都涉及产品的形状，两者的区别是：实用新型专利主要涉及产品的功能，外观设计专利只涉及产品的外表。如果一件产品的新形状与功能和外表均有关系，申请人可以申请其中一个，也可分别申请。

c. 专利说明书的内容与结构 1. 标头部分 (扉页)：格式很规矩 2. 正文部分：详细解释，并举例说明如何做成 3. 权利要求部分：往往范围想要得很宽大

专利文献标头部分著录数据代码 INID 为方便各国专利文献检索者，应有统一专利号的标志。巴黎联盟专利局信息检索国际合作委员会（简称ICIREPAT）制定了一套专利著录项目的国际统一数字代号。代号的作用是使不懂外国文字的专利资料作者能根据代号识别这些项目，并便于计算机输入，进行机械检索。此代号称INID。主要项目代号见下表 (详见教材P. 108)： [10]文件证号 [51]国际专利分类号 [11]专利号 [52]本国分类号 [12]文献种类的简述 [53]国际十进位分类号 [19]专利国别 [54]发明名称 [20]国内登记项 [55]主题词 [21]申请号 [71]申请人 [22]专利申请日期 [72]发明人 [32]优先权申请日期 [73]受权人（专利所有者） [45]获专利权说明书的出版日期 [74]律师或代理人

专利文献说明书的各国标准缩写为便于检索各国专利，1978年世界知识产权组织（WIPO）制订了一套各国标准缩写代号。世界主要国家代号见下表： AU 澳大利亚 AT 奥地利 BR 巴西 CA 加拿大 CH 瑞士 CN 中国 CZ 捷克 DE 德国 DK 丹麦 EP 欧洲专利局 FI 芬兰 FR 法国 GB 英国 HK 香港 HU 匈牙利 IN 印度 KR 韩国 JP 日本 NL 荷兰 RU 俄罗斯 TW 台湾 US 美国 WO 世界知识产权组织例如: CN 1048227 A US 0067995 JP 0302089

中国的专利分类搬用国际专利分类(IPC) • • 分类结构 ABCDEFGH 加数字分类法 (教材P. 202 -203) 例如： C 08 K 5/54

IPC – Sections 大类 Section A: Human Necessities E. g. Agriculture, Foodstuff; Personal or domestic articles Section B: Performing Operations; transporting E. g. Physical or chemical processes or apparatus in general; Hand cutting tools; Vehicles in general Section C: Chemistry; Metallurgy E. g. Inorganic & Organic Chemistry; treatment of water, wastes etc Section D: Textiles; Paper E. g. Yarns; treatment of textiles; Paper making Section E: Fixed Constructions Construction of roads, railways or bridges; Hydraulic engineering Section F: Mechanical Engineering; Lighting; Heating; Weapons; Blasting E. g. Machines or engines in general Section G: Physics E. g. Optics; Photography; Horology; Nuclear Physics; Nuclear engineering Section H: Electricity E. g. Basic Electric elements; Electric Communication Techniques

IPC 8 (第 8版)– Jan 2006 http: //www. wipo. int/classifications/ipc 8/? lang=en MOST IMPORTANT INFORMATION Section Subsection Class Subclass Further divided into Group and Subgroup

六. 发明专利举例 (EXAMPLES):

What Is on a US Patent Document? • Bibliographic Information – Contains key patent data, such as patent number, title, list of prior art, patent class, name of inventor, assignee, filing and issue dates, Title of invention Inventors Date that the patent formally filed with USPTO Unique patent number and date IPC code is subject related – up to subclass level US classification Abstracts gives the main feature of the invention Representative drawing

What Is on a Patent Document? • Abstracts – A general description of the technical disclosure provided in the specification.

What Is on a Patent Document? • Description/Specification – Includes background, detailed summary and description of the invention – Teaches what the invention is, what problems it solves and how it works • Claims – Define the boundaries of the invention, exclusively owned by the patentee for the term of the patent. • Drawing – Illustrates every feature of the invention

What is on a Patent Document? Description/ Specification Claims

How Are Patent Organized? • Using Patent Classification Systems which is a hierarchical system • This is similar to a subject classification system. International Patent Classification (IPC) http: //www. wipo. int/classifications/en/ United States Patent Classification (UPC) http: //www. uspto. gov/go/classification/ (to find what is IPC equivalent of a UPC) European Patent Classification (ECLA) http: //l 2. espacenet. com/eclasrch (same structure but is an extension of IPC with more subdivisions)

§ 3. 2 中国美国日欧 WIPO 专利检索 www. sipo. gov. cn (中国) (点击此网) www. patent. com. cn (中国) www. wipo. int (世界) www. uspto. gov/patft/index. html (美国) patents. uspto. gov (美国) Google Patents (美国) http: //ep. espacenet. com/ (欧洲) www. european-patent-office. org (欧洲) www. jpo. go. jp (日本) www. patentoffice. de (德国) www. patent. gov. uk (英国)

中国专利检索： http: //www. sipo. gov. cn/sipo/zljs/

Why Search for Patents? • Patentability Search – Find out whether an invention is patentable • Infringement Search – Determine if the claims of a patent infringe any other patent • Assignment Search – Determine the present owner of a patent – Identify competitors/contacts for new technology • Patents as an Information Source – Review patents in a particular technical area (synthesis of a patented compound) – Point out new directions in research – Find new uses for existing technologies

Patent Sources on the Internet

esp@cenet by European Patent Office • http: //ep. espacenet. com/ • Free search of patents and patent related documents: – EP Documents - Most recent 24 months of publications from the European Patent Office added on a weekly basis. – WO Documents - Most recent 24 months of PCT-publications from World Intellectual Property Organization (WIPO) added after two-weeks of publication. – Worldwide Data – Covers EP documents more than 24 -months old, other patents and Japanese patents since 1998 which do not have a Japanese priority • Keyword search in Title or Abstracts up to 4 terms allow. • Able to search by IPC codes • Free full document image in PDF for printing and saving allowed after maximizing the document window.

United States Patent & Trademark Office • http: //www. uspto. gov/patft/index. html • Free search of patents and patent related documents • Two databases: – Published Applications (App. FT) (from 15 March 2001 - ) – Issued Patents (Pat. FT) (full-text 1976 -, full-page images 1790 -) • • • Weekly update usually on Tuesday Keyword search on the full-text patent page. Search by US classification codes only. Unable search by IPC code Free full document (images), but only page-by-page download/printing allowed. • Requires a viewer for the images.

PCT Database • Patent. Scope at www. wipo. int/pctdb/en/search-adv. jsp • PCT = Patent Cooperation Treaty • By World Intellectual Property Organization • Contains published bibliographic data and image from 1978 to present • Keyword search across full-text patent page • Full document available in PDF and HTML.

Is There a Single Search Interface for All Patent? www. freepatentsonline. com Covers US, EP, WIPO, JP (Abstract) Draw a chemical structure, and search!

Sci. Finder Scholar • Patent records available within 2 days of issuance by 8 major patent issuing authorities – 50 patent authorities covered, includes USPTO, EP and WIPO. – List of countries at http: //info. cas. org/EO/patyear. html

Patent coverage in SFS • IPC Reform I for Guaranteed Coverage - new 1/06 http: //info. cas. org/EO/ipcguar 8. html

Patent coverage in SFS • IPC Reform I for Selective Guaranteed Coverage - new 1/06 • http: //info. cas. org/EO/part 8. html

SFS as a patent search tool? • Good place to begin as results are from various patent sources. • It offers keyword search across all fields but classification codes search is not possible. • However due to selective coverage it may not provide a comprehensive patent search • For filing purposes, it is a good idea to repeat the search in each patent databases for a comprehensive search.

Search Topic • Oral Controlled Drug Delivery Systems – controlled drug delivery, novel delivery, diffusion barrier, matrix, multi-particulate/s, pellets, mini-pellets, colonic • Transdermal Delivery System – structured gell, non-aqueous gell, viscous barrier, bioadhesion, visco-elastic, biocompatible, biodegradable, transdermal

Method for Searching for Patent Information • Do a keyword search in SFS or patent website • For relevant records, see what IPC or USC codes used • Repeat your search in patent website using IPC or USC code combine with the most important keyword

Find Patents on Oral Controlled Drug Delivery Systems - controlled drug delivery, novel delivery, diffusion barrier, matrix, multi-particulate/s, pellets, mini-pellets, colonic

Full Bibliographic record of a Chinese Patent

Full Bibliographic record of a US Patent

作业：请找出有关下列化合物的分析检测或合成的中外专利，请详细列出专利标题名，发明人，专利号(或申请号，或公告号) ，写成 500字内的短文： 1) 香兰素（vanillin）的合成生产方法 2) 6 -巯基-嘌呤 (乐疾宁)合成 6 -mercaptopurine 3) 苯巴比妥 phenobarbital 4) 西维因 sevin (或 carbaryl) 5) 尿和血液中钙离子浓度的测定法 6) 氯化聚氯乙烯 chlorinated polyvinyl chloride的合成生产 7) 维生素D 3 合成 8) 2 -苯基-乳酸的用途 2 -phenyllactic acid 9) Cd. S纳米颗粒的合成生产

第三章 中外专利文献 3 1 专利基础知识 3

第三章中外专利文献 3 1 专利基础知识 3