Lehman, Lee & Xu
雷曼律师事务所
Edward E. Lehman
Macau University of Science and Technology
澳门科技大学
November 2007
2007年11月
Lehman, Lee & Xu - www.lehmanlaw.com
The Firm
公司简介

Established in 1992
1992年建立

Granted the 8th private law license in China
被誉为中国第八大私人法律事务机构

One of the most important Law Firms in China
中国最知名的律师事务所之一

Over 130 chinese and foreign lawyers
超过130名中外律师

Offices in China (Beijing, Shanghai, Hong Kong, Macao, Guangzhou and
Shenzhen) and abroad (Mongolia, Mauritius and Chicago)
在中国的分所（北京、上海、香港、澳门、广州和深圳），国外的分所
（蒙古、毛里求斯和芝加哥）

Fully licensed Patent and Trademark office as an adjunct to the Firm
公司下属有持有专利和商标代理执照的专门机构
Lehman, Lee & Xu - www.lehmanlaw.com
Practice Areas
业务范围


Banking, financing and corporate
Law
 Antidumping
银行、金融和公司法
 Aviation and Maritime
International trade
国际贸易

Mergers and Acquisitions
Litigation and Arbitration
Intellectual and Industrial
Property
Information Technologies
电信

劳动法
 Franchising
特许经营
 Pharmacy Law
医药法
Taxation Law
税法
公司重组
 Labor Law
知识产权和工业产权

破产法
 Corporate Reorganization
诉讼和仲裁

航空和航海
 Bankruptcy Law
兼并和收购

反倾销
 Real Estate
房地产
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Services
服务范围

Corporate partnership research,
公司合伙调查

Due diligence,
尽职报告

Corporate Accountancy and Taxation (Lehman&Co),
公司会计和税务

Inmigration and Visa processing (LehmanGlobal)

移民和签证手续
Legal Translation and Interpretation services (Thundergates)
法律翻译和口译服务
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Awards 2007
2007年获得的荣誉

Sixth Best Law Firm in China
中国最佳律所排名第六

Trademark and Patent Practice Ranked in Top One Per Cent in
China (MIP World Ip Survey 2007)
被评选为中国最佳商标/专利诉讼律师行之一（《知识产权管理》杂志2007年
调查）

Recommended China IP Law Firm in 2007 (Practical Law
Firm)
被提名为“值得推荐的”中国知识产权律师事务所 （法律实践公司）

Tax & Trusts Firm of the Year (Asian Legal Business China Law
Awards 2007)
年度税务与信托律师事务所（亚洲法律事务2007年度中国法律大奖）
Lehman, Lee & Xu - www.lehmanlaw.com
General Course on
Intellectual Property Rights.
知识产权综合课程
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Summary of the Course
课程摘要
1.
Introduction to Intellectual Property
知识产权介绍
2.
Author’s Rights
版权
3.
Related Rights
相关权
4.
Trademarks
商标
5.
Geographical Indications
地理标志
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Summary of the Course
课程摘要
7.
Industrial Design
工业外观设计
8.
Patents
专利
9.
International Registration systems and PCT
国际注册体系和专利合作协定
10.
Unfair Competition
不正当竞争
11.
Protection of new varieties of plants
植物新品种保护
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Lehman, Lee & Xu - www.lehmanlaw.com
Lehman, Lee & Xu - www.lehmanlaw.com
Module 1
第一单元
Introduction to Intellectual Property
知识产权介绍
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What is Intellectual Property?
什么是知识产权

Definition Intellectual Property:
知识产权定义：
 Property’s main feature: owner is free to,
财产的主要特征：财产所有者能够自由地
 use it as she/he wishes (not against the law)
根据他/她的意愿使用（不违背法律）
 exclude others from using it
排斥他人进行使用
 IP: type of property resulting from creations of the human
mind, the intellect.
知识产权：由人类头脑即智力所创造的那类财产
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What is Intellectual Property?
什么是知识产权？

IP usually relates to: 知识产权通常指
 Literary, artistic and scientific works (Copyright)
文学、艺术和科学作品（版权）
 Performances, broadcasts (Copyright's Related Rights)
演出、广播（版权的相关权）
 Inventions (Patents)
发明（专利）
 Industrial designs (Industrial Designs)
工业外观设计（工业外观设计）
 Trademarks, service marks and commercial names and designations
(Trademark)
商标、商标服务以及商业名称和标志（商标）
 Unfair competition
不正当竞争
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What is Intellectual Property?
什么是知识产权？

Two common principles to all areas:
所有领域的两个共同原则
 The creators of intellectual property can acquire
rights as a result of their work.
知识产权的创造者可以对其劳动成果获得权利。
 The rights to that work may be assigned or licensed to
others.
对该成果的权利可以转让给他人或许可他人使用
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Why do IP Rights Matter?
为什么要有知识产权？

Reward endeavors for intellectual creations by
offering protection;
通过保护奖励人们进行各种智力创造活动；

Give official recognition to creators;
对这类创造者给予官方承认；

Encourage such endeavors and industry’s growth;
鼓励进行这种努力和促进工业发展；

To create repositories of vital information;
为重要信息创造保存的地方；
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Macau
澳门
IP Rights Protection System
知识产权保护制度
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Macau’s Legal System
澳门的法律制度

Based on the Portuguese Legal System
建立在葡萄牙法律制度的基础上

Two major contents of IPR:
知识产权最主要的两大内容
 Copyright
版权
 Industrial Property
工业产权

Defined by special laws:
专门法律定义
 Copyright Code
著作权法
 Industrial Property Code
工业产权法
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Copyright Code
著作权法

Extended from Portugal to Macau (1972)
从葡萄牙延伸到澳门

Separate legal instruments:
单独的司法手段
 Decree-Law No. 4/85/M (Nov. 1985)
第4/85/M号法令（1985年11月）
 regulate rights derived from Copyright
版权所衍生的常规权利
 limited to ban unauthorized reproduction of audio-visual work
仅限于禁止对音像制品进行未授权的复制
 not provide feasible control measures
没有提供切实可行的控制措施
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New Copyright Code
新的著作权法

Promulgated and in force by the end of 1999
1999年底颁布并实施

Main Reason:
主要理由
 widespread unauthorized reproduction and sale of
以下产品未授权复制的现象的加剧
 computer programs 计算机程序
 audiovisual work 音像制品

Achievement:
成效
 better copyright protection
更好的版权保护
 fulfillment WIPO obligation
履行世界知识产权组织义务
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Industrial Property Law in Macao
澳门工业产权法

Old Industrial Property Code of Macao (1959)
旧的澳门工业产权法（1959）
 extension of Industrial Property Code of Portugal (for
application in Macao)
葡萄牙工业产权法的延伸（针对在澳门在澳门申请）

Decree-Law No. 40/87:
第40/87号法令
 introduced amendments into the Industrial Property Code
对工业产权规范进行修正
 also extended from Portugal (for application in Macao)
也是从葡萄牙延伸过来的（针对在澳门提交申请）
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Industrial Property Law in Macao
澳门工业产权法

In 1995 Portugal promulgated a new Industrial Property Code
1995年葡萄牙颁布了一部新的工业产权法
 Macau legislators extended application
澳门立法者扩展了申请范围

Decree-Law No. 56/95/M (1995):
第56/95/M号法令（1995）
 trademark law of Macao
澳门的商标法
 into effect since December 6, 1995
自1995年12月6日起生效
 suspended application of part of Industrial Property Code of Portugal
in Macao
终止葡萄牙的工业产权法部分内容在澳门的适用
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Trademark law
商标法

Punishment for TM infringement:
商标侵权的惩罚
 one year prison term, or
一年有期徒刑，或
 5,000 – 500,000 Macau patacas fine
5,000至500,000澳元罚款

Repeated offense:
惯犯
 two year prison term, or
两年有期徒刑，或
 50,000 – 1 million Macau patacas fine
50,000至1百万澳元罚款

Criminal Code of Macau: “only intentional offenders meant to
infringe the TM right of others will receive criminal punishment”
澳门刑法：“只有企图对他人的商标权利进行侵犯的国际罪犯，要接受刑
事制裁”
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China
中国
Intellectual Property System
知识产权制度
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China’s IP system
中国知识产权制度

China has a relatively developed IP legal system.
中国的知识产权法律体制相对发达

Member of WIPO and numerous international IP treaties:
世界知识产权组织成员并参与签署了多项国际知识产权条约
 Paris Convention for Protection of IP保护知识产权巴黎公约
 Patent Cooperation Treaty (PCT)专利合作条约
 Madrid Agreement Concerning the International
Registration of Marks 商标国际注册马德里协定
 Locarno Agreement, Nice Agreement and Budapest Treaty.
洛迦诺协定，尼斯协定及布达佩斯条约
 Berne Convention for the Protection of Literary and
Artistic Works保护文学和艺术作品伯尔尼公约
 WTO’s Trade Related Aspects of IP (TRIPs)
保护与知识产权相关贸易的协定
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IP Problems in China
中国的知识产权问题

Society and Culture 社会和文化
 No guilty conscience 无犯罪道德心
 Dependence on counterfeit and pirated good
依赖于假冒伪劣商品

Lack of public awareness of IP Laws
公众对知识产权法律缺乏了解
 Weak enforcement system 制度实施力度薄弱




Limited governmental resources 政府资源有限
Local Protectionism 地方保护主义
“Ignorance” of IP laws 对知识产权法律的“无知”
Uncertainty in application of new IP laws
新知识产权法律实施的不确定性
 Limited damages awards 有限的损害赔偿
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Legal IP Framework
知识产权法律框架

Trademark Law (1993, amended 2001)
商标法（1993年，2001年修正）

Patent Law (Patents, Utility Models, Designs) (last amended 2006)
专利法（专利、实用新型、设计）（2006年最后一次增补）

Copyright Law (1990, amended 2001)
著作权法（1990年，2001年增补）

Unfair Competition Law (1993)
反不正当竞争法（1993年）

Product Quality Law (2000)
产品质量法（2000年）

Customs IP Regulations Courts (People’s Court)
知识产权海关海关保护条例（人民法院）
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Evolution of TM Protection
商标保护发展进程

Compulsory registration procedure (1950-1963)
强制注册程序（1950-1963）
 administrative control
行政控制
 not grated exclusive rights
不保障独占性权利

Cultural Revolution
文化改革
 TM cancelled as capitalistic
取消商标的资本主义性质
 TMO was closed
国家商标局关闭

New TM Law, August 1982
新的商标法，1982年8月
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Trademark Authorities
商标管理机构

Trademark Office (TMO)
商标局（TMO）
 Under control of SAIC
国家工商行政管理局控制之下
 Functions:
职能
 Registration 注册
 Enforcement 实施

Trademark Review and Adjudication Board
商标审批部
 review and evaluate decisions from TMO
审查和评估商标局的决定
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Patent Protection System
专利保护体制

In 1980, China Patent Bureau was established
1980年，中国专利局建立

In 1984, Patent Law was promulgated
1984年，专利法颁布

In 1985, Implementing Regulations
1985年，实施条例

State IP Office (SIPO):
国家知识产权局（SIPO）
 former China Patent Bureau
组建中国专利局
 under direct authority of State Council
由国务院直接领导
 functions: 职能
 Registration 注册
 Enforcement 实施
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Customs Protection on IPR
知识产权注册海关保护

Specific regulations
特别条例

Customs enforce IP laws in import/export of goods
海关在货物进出口方面实施知识产权法

Required to confiscate infringing goods
要求没收侵权货物
 Discretion to: 处理
 Destroy infringing goods
销毁侵权货物
 Preserve goods for welfare purposes
扣留货物用以公益目的

Can also refer matter to judicial authorities
也可向司法机构提交诉讼
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Case Study: Starbucks案例分析：星巴克

Facts:事实背景
 Starbucks launched its coffee shop chain in Taiwan in 1998 and
registered STARBUCKS and XINGBAKE (chinese version of the
name).STARBUCKS1998年在台湾开办了咖啡连锁店，注册了
STARBUCKS和星巴克。
 In October 1999 Shanghai Xingbake Coffee Shop Ltd registred
“Xingbake” as its company name in China.1999年上海星巴克咖啡有
限公司将“星巴克”注册为其在中国的公司名称。
 Shanghai Xingbake adopted a circle with white characters on a
green background as its logo, but replaced the Starbuck’s mermaid
in the centre of the circle with a picture of a coffee cup.上海星巴克
用绿色背景和白色带汉字圆圈作为其标志，但是用一个咖啡杯替代了
圆圈中部的星巴克美人鱼图像。
 Starbucks argued that the similarities in the name and logo would
mislead consumers into believing that Shanghai Xingbake was
somehow related to Starbucks.STARBUCKS争论说名称和标志的相
似性会遇到消费者认为上海星巴克与STARBUKS是相关联的。
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Case Study: Starbucks案例分析：星巴克

Legal Point Discussed :法律聚焦点
 Well Known trademark principle vs First-to-file rule.
知名商标VS先申请原则
 Shanghai Xingbake registered the company name prior
to Starbuck’s registration of its trademark in China.
上海星巴克注册公司名称先于STARBUCKS在中国注册商标
 Starbucks argued its wellknown status was
demonstrated by the fact that it was the world’s largest
coffee retailer: more than 5,000 coffee outlets in the
world.STARBUCKS争论说作为世界上最大的咖啡零售商：在全球拥
有超过5,000家咖啡外卖店，充分显示了其商标的知名性。
Lehman, Lee & Xu - www.lehmanlaw.com
Case Study: Starbucks案例分析：星巴克

Shanghai Court Resolution:上海法院判决
 In December 2005, the Shanghai Second Intermediate People’s
Court ruled that both STARBUCKS and XINGBAKE, as well as
the Starbuck’s logo, constituted well-known trademarks in China.
2005年12月，上海第二中级法院判决STARBUCKS和星巴克以及STARBUCK的
标志，都被认为是中国的驰名商标
 Shanghai Xingbake had used the Chinese translation of Starbucks
in its company name and had adopted a logo closely resembling
Starbuck’s logo in bad faith.上海星巴克欺诈性地使用了星巴克的中
文翻译作为公司名称，使用了与STARBUCKS标志极其相近的标志。
 Shanghai Xingbake was ordered to stop using the name and logo,
make a public apology, and payed damages of 500,000 yuan.上海星
巴克被责令停止使用该名称和标志，公开道歉，支付 500,000元人民
币作为赔偿。
Lehman, Lee & Xu - www.lehmanlaw.com
Case Study: Starbucks案例分析：星巴克

Significance of the decision: 判决的意义
 Courts are becoming more willing to apply
wellknown trademark principles to protect the
intellectual property of foreign enterprises.法院变得
更愿意采用驰名商标原则来保护外国公司的知识产权。
 Foreign enterprises can successfully defend their
intellectual property rights through legal action in
China.外国公司能够通过在中国采取法律手段成功地保护其
知识产权。
 A guidance on which factors the court will consider
when determining what constitutes a well-known
mark.给法院判定一个驰名商标的构成因素提供了指引。
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Module 2
第二单元
Copyright
著作权
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What is Covered by Copyright?
著作权保护什么？

Copyright: protection of literary and artistic works
著作权：保护文学和艺术作品
 writings,
文学作品，
 music,
音乐，
 works of the fine arts (paintings and sculptures),
美术作品（绘画和雕塑），
 technology-based works (computer programs and
electronic databases)
具有技术含量的作品（计算机程序和电子数据库）
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What is Covered by Copyright?
著作权保护什么？


Copyright protects expression of thoughts, not ideas
(imagined plots are not protected)
著作权保护的是思想的表现形式而非思想（设想出来的
构想得不到保护）
‘Literary and Artistic works’, Berne Convention (1886),
article 2. (not exhaustive list)
《文学和艺术作品伯尔尼公约》(1886) 第二条（不完全
列举）
 Intellectual creations
智力创造物
 Protected through copyright
通过著作权得到保护
 Requirement: be original
要求：原创性
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Derivative works
演绎作品



Works derived from other existing sources
从其他现有资源演绎而来的作品
 translations of works into a different language;
将作品翻译成其他语言；
 adaptations of works,
改编作品，
 arrangements of music,
编曲，
 compilations of literary and artistic works, (encyclopedias and
anthologies)
文学和美术作品的汇编（百科全书和文选）
Also protected by Article 2 of the Berne Convention
同样受到《伯尔尼公约》第二条的保护
Must respect the rights of the author of the initial work
必须尊重初始作品作者的权利
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Rights Protected by Copyright
著作权保护的权利

The owner of copyright enjoys "exclusive rights":
著作权所有人享有“排他性权利”
 to use the work, or
使用自己的作品，或者
 to authorize others to use the work.
授权他人使用自己的作品

Two types of rights under copyright:
著作权包含的两种权利
 economic rights, 经济权利
 financial reward from the use by others
通过他人使用作品而获得报酬
 can be transferred or assigned
可以出让或转让
 moral rights,精神权利
 preserve the personal link between author and the work.
保留作者与其作品之间个人的联系
 can never be transferred
不可以转让
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Copyright holder’s rights
著作权所有人的权利

Governed partly by the Berne Convention (minimum
rights), and partly by national law (further)
部分由《伯尔尼公约》规定（最低保护权利），部分受
国内法规范（更多权利）

Right of reproduction, right to authorize photocopies, printed
copies or copies of cassettes.
复制权，授权复制品、印刷品和翻录的磁带

Right of performance, right to perform the work, communicate
it to the public and broadcast it.
表演权，公开表演权、公众传播权和播放权

Rights of Translation and Adaptation
翻译和改编权
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Right of Reproduction
复制权

Right to prevent others from making copies of the works without
authorization.
防止他人无授权进行作品复制的权利

Legal basis for exploitation of protected works.
受保护作品宣传的法律基础

Connected rights (national laws):
相联系的权利（国内法）
 right to authorize distribution: exhaustion upon first sale
授权分销的权利：仅限于第一次销售
 right of rental: computer programs, audiovisual works and
phonograms (easy to copy)
出租权：计算机程序、音像制品和录音制品（易于复制）
 right to control importation of copies: erosion of territoriality of
copyright
控制作品复制件进口的权利：侵犯著作权地域原则
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Right of Reproduction
复制权

Exception: "limitations" on rights
例外：对“权利”的限制
 acts of reproducing which do not require author’s authorization
不需要作者授权的复制行为
 Individuals can make single copies of works for
个人能出自以下目的复制单份他人的作品
 private,
私人的，
 personal, and
个人的，并且
 non-commercial
Purposes
目的
非商业性目的
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Right of Public Performance
公开表演权

public performance: performance of a work at a
place
公开表演：在某一场所表演一部作品
 where the public is or can be present,
公共场所或公众可能聚众的地方
 not open to the public, but where a substantial
number of persons are present.
不对公众开放但有很多人在场的场所

owner of copyright may authorize live
performances of a work
著作权所有人可以允许一部作品的现场表演
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Right of Public Performance
公开表演权

Connected rights:
相联系的权利：
 right of broadcasting:
播放权：
 emission by wireless means (radio, television, or satellite)
用无线方式（无线电、电视或卫星）
 for public within range of the signal
在信号范围内向公众播放
 communicating to the public:
向公众传播：
 signal diffused by wire or cable
信号通过有线或电缆方式传播
 can be received only by persons with access to equipment
connected to the wire or cable system.
只能被那些具备有线或电缆接收设备的人才能接收
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Rights of Translation and Adaptation
翻译和改编权

Translation: expression of a work in a language other
than that of the original version
翻译：用非作品原语言的另一种语言来表达作品

Adaptation: modification of a work to create another
work
改编：对原作品进行修改而产生另一个作品

Translations and adaptations are protected by
copyright
翻译和改编受到著作权的保护
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Acquirement of Copyright
著作权的取得

Berne Convention: principle of no formalities
(creation equals protection)
《伯尔尼公约》：无手续原则（创作完成就获得保护）

Common law countries: fixation is a requirement
(work must be written down or recorded)
大陆法国家：固定是获得版权的条件
（作品必须写下来或录下来）

Civil law countries: works are protected from the
instant of creation (prove in Court)
惯例法国家：作品自诞生之时起即获保护（在法庭上证明）
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Transfer or Assignment of Copyright
著作权的出让或转让

Authors transfer their rights by way of contractual agreements, in
return for compensation:
作者和创作者通过协议将他们的权利转让，以获取报酬
 lump sum payments,
一次付清
 royalties based on a percentage of revenues
根据产品产生的收入的比例支付的许可费

transfer can affect
转让可能影响
 all economic rights, or
所有的经济权利，或
 only some of them (partial assignment)
仅仅部分经济权利（部分转让）
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Transfer or Assignment of Copyright
著作权的出让或转让

Transfer or assignment may be granted:
出让或转让在以下情况下可被保证有效：
 for a specific period of time and a limited territory,
某一特定的时间和特定的区域
 for the full term of copyright and worldwide
在著作权全部保护期内及全世界范围内

Form of assignment:
出让的形式
 in written
书面形式
 signed by or on behalf of the assignor
以出让人名义签字
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Duration of Copyright Protection
著作权的保护期限

Minimum requirement under the Berne Convention is
50 years
《伯尔尼公约》规定的最低保护期限是50年

Term calculated from the end of year of the author’s
death
保护期自作者死亡之年的年底起算

Tendency in recent years to prolong protection to 70
years (EU and US)
近年的趋势是延长保护期至70年（欧盟和美国）

Photographic works and works of applied art, 25 years
after the making of the work
摄影作品和应用美术作品的保护期限是其作品完成后25年
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Limitations on Rights
权利的限制

Exclusion of certain categories of works
不受著作权保护的特定作品
 works not fixed in tangible form (choreography)
作品没有固定在有形物上（舞蹈）
 texts of laws, court and administrative decisions
法律文本、司法和行政决定

Acts of exploitation done without authorization
不经权利人许可就使用其作品
 Free uses: no authorization and no obligation to compensate
自由使用：不经许可也不必支付费用
 Non-voluntary licenses: no authorization, but obligation to
compensate
非自愿许可：不经许可，但是应支付费用
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Enforcement of Rights
权利的实施

Berne Convention: few provisions concerning
enforcement of rights
《伯尔尼公约》：只有几项条款是关于权利的实施的

Increase in national and international standards, due to
国家和国际标准发生了重大变化，这是由于
 advances in technological means for creation of protected
material
创造被保护作品的技术手段的进步
 increasing economic importance of trade of goods
protected by IPR (TRIPS)
受知识产权（保护知识产权相关贸易的协定）保护的产品贸易
的经济重要性不断增加
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Enforcement provisions in national legislations
国内立法的实施规定

Conservatory or provisional measures
临时措施或保全措施
 Two purposes: 两个目的
 prevent entry of infringing goods into the channels of commerce
防止侵权产品进入商品流通领域
 preserve relevant evidence
保全相关证据
 Judicial authorities (no notification)
司法机关（不必事先通知）
 Search and seizure of:
搜查和扣押
 goods, 产品
 equipment used, 使用的设备
 documents 文件
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Enforcement provisions in national legislations
国内立法的实施规定

Civil remedies 民事救济
 compensate for economic injury suffered
所受经济损失的赔偿
 monetary damages
金钱损失
 destroy infringing goods
销毁侵权产品

Criminal sanctions 刑事处罚
 punish acts of piracy on a commercial scale
处罚以商业规模的侵犯版权行为
 imposition of substantial fines
大量罚款
 sentences of imprisonment
判处有期徒刑
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Enforcement provisions in national legislations
国内立法的实施规定

Border measures 边境措施
 customs authorities (not judicial)
海关（非司法机关）
 suspension into circulation of goods suspected of
infringement
中止涉嫌侵权产品的放行
 owner must provide: 权利所有人必须提供
 evidence of infringement 侵权证据
 detailed description of the goods 产品的详细描述
 security to indemnify 缴纳保证金



importer, 进口商
owner of the goods 产品所有人
customs authorities 海关
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International Agreements on Copyright
有关著作权的国际协定

Berne Convention for Protection of Literary and Artistic Works (1886)
《保护文学和艺术作品的伯尔尼公约》（1886）
 revised several times (latest version 1971)
多次修订（最近一次的修订本于1971年通过）
 principle of national treatment
国民待遇原则
 minimum protection standards to be met by national law
国内法必须遵循的最低保护标准

Agreement on Trade-Related Aspects of Intellectual Property Rights
(TRIPS) 《与贸易有关的知识产权协定》（TRIPS）
 administered by the WTO
由世界贸易组织管理
 reference to Berne Convention (not moral rights)
参照了《伯尔尼公约》的实质性条款（没有关于精神权的规定）
 additional norms on new types of creations and new forms of exploitation
就新的创造类型和新的使用方式增加了条款
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Benefits of copyright protection for developing countries
发展中国家从著作权保护中可以得到的利益

Cultural and economic benefits
文化和经济利益

Incentive to create
鼓励创造力

National vs. International protection
国内vs.国际保护
 Price for consumers and consequences
消费者承受的价格和后果
 Benefits for artists
艺术家利益
 Reciprocity
互惠
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International Agreements on Copyright
有关版权的国际协议

WIPO Copyright Treaty (WCT)
世界知识产权组织版权条约（WCT）
 protect works when transmitted by digital means (Internet)
保护由多媒体手段传输的作品（互联网）
 protects: 保护
 computer programs 计算机程序
 databases 数据库
 rights of author: 著作权




distribution, 发行
rental, 出租
communication to the public (Internet) 向公众传播（互联网）
reproduction 复制
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China
中国

Optional registration (not mandatory)
选择性注册（非强制性）

Competent Authority: National Copyright
Administrative Office (NCA)
主管单位：国家版权局（NCA）

Timeframe
需要用的时间
 Two months if documents/information are well
prepared.
如果文件/信息准备充分，两个月
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Documents
文件

Documents/information required for registration:
注册所需的文件/信息：
 Author’s and/or applicant’s information (name, address..)
作者及/或申请人信息（姓名、地址……）
 Applicant’s identification certificate notarized and legalized
申请人经过公证和认证的身份证明
 Information regarding the works (work’s name, time of completion or
publication, etc.)
作品方面的信息（作品名称、完成时间或出版时间等等）
 Sample or pictures of the works
作品样品或图片
 Description of the works (works’ creativity process and objective)
作品描述（作品创造程序和目标）
 Guarantee from applicant notarized and legalized.
申请人出具的加以公证认证的保证书
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Infringement
侵权

Administrative Remedies (NCA):
行政措施（国家版权局）
 party may apply to NCA to investigate
相关方可要求国家版权局进行调查
 remedies: 措施




issuance of warning 发布警告
order to cease infringement 命令终止侵权
confiscation of income obtained 没收所取得的收入
confiscation of infringing merchandise 没收侵权商品
 monetary penalties (RMB 100-RMB 100,000)
罚款处罚（人民币100至100,000元）

Judicial Remedies 司法措施
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Macao and Hong Kong
澳门和香港

No necessary to register copyright in order to get
protection
没有通过注册版权来获得保护的必要

Automatic protection at creation
作品产生时自动获得保护

No specific authority for registration matters
没有特别的注册管理机构

No specific procedure foreseen
没有特别的预知程序
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Case Study: Lego案例分析：乐高

Facts事实背景
 September 1999 INTERLEGO AG, brought a lawsuit against
defendants Kegao (Tianjin) Toy and Beijing Fuxing Shopping
Centre for copyright infringement. 1999年9月INTERLEGO AG.公司
对KEGAO天津玩具厂和北京复兴商场提起版权侵权的诉讼
 Kegao was producing and marketing 53 kinds of toy building bricks
that were substantially similar to the LEGO products.
KEGAO过去一直生产和销售53种积木玩具与乐高的产品实质性相似
 Fuxing Shopping Centre was selling the building bricks produced
by Kegao and exporting them.
复兴商场销售和出口KEGAO生产的积木
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Case Study: Lego案例分析：乐高

First Instance Decision一审判决
 In December 2001 INTERLEGO won the lawsuit at the First
Intermediate People’s Court of Beijing. 2001年INTERLEGO在北京市第
一中级人民法院胜诉讼
 LEGO Bricks protection under the Bern Convention as constituting
works of applied art. 乐高积木作为实用艺术作品受到了伯尔尼公约的保护
 50 pieces out of 53 pieces of LEGO Bricks met with the
requirements for industrial designs to be qualified as works of
applied art: 53种乐高积木中有50种符合了作为实用艺术作品的工业设计要求
 practical applicability实用性
 artistic quality 艺术品质
 originality 原创性
 reproducibility
可复制性
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Case Study: Lego案例分析：乐高

Dual Protection双向保护
 Both Keago and INTERLEGO appealed to the Beijing Higher
People’s Court in December 2002. The appellate court resolved the
case and upheld the ruling of the trial court. KEGAO 和
INTERLEGO都于2002年12月向北京市高级人民法院提起了诉讼。
高院受理案件，支持原判。
 The appellate court took the view that Chinese law does not rule out
dual protection under the copyright law and patent law to
foreigner’s works of applied art. 北京高院认为中国法律没有排斥在
版权法和专利法下对国外实用艺术作品实施双向保护
 LEGO Bricks could be subject to copyright protection even though
they had also been subject matter for patents in China. 乐高积木可
以寻求版权保护也可以寻求专利保护
 It is a landmark decision since the high court confirmed dual
protection for industrial designs as works of applied art under the
patent law and copyright law simultaneously. 这是一个里程碑式的
决定，因为高院确定了专利法和版权法下同时对实用艺术作品工业设
计的双重保护。
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Module 3
第三单元
Related Rights
相关权
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Introduction
介绍

Related rights are closely related with copyright
相关权与著作权紧密联系

Derived from a work protected by copyright (except public domain)
从受著作权保护的作品中派生出来（公共领域除外）

Offer same exclusivity as copyright
具有与著作权相同的独占性

Protect legal interests of those who make works available to the
public (singer)
保护那些将作品传播给大众人士的合法利益（演唱者）

Granted to: 受保护的人或组织
 Performers (singer or actor) 表演者（演唱者或演员）
 Producers (record company) 制作者（录音制品公司）
 Broadcasters 广播组织
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International Agreements
国际协议

Rome Convention (1961)
罗马公约（1961）
 attempt to establish international regulations (no synthesize existing
laws)
尝试建立国际规则（当时几乎不存在国家法）
 draft and enact laws before adhering to the Convention
在签署公约前起草和颁布法律

WIPO Performances and Phonograms Treaty (WPPT)
《世界知识产权组织表演与录音制品条约》（WPPT）
 Geneva, December 20, 1996.
1996年12月20日，日内瓦
 further protection to economic and moral rights
对经济权和精神权提供进一步保护
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Rights Granted to Beneficiaries

Performers: 表演者
授予受益人的权利
 prevent fixation, broadcasting and communication of their live
performances
禁止将其表演固定、广播和传播
 prevent reproduction of fixations
禁止对已固定的表演进行复制

Producers of phonograms : 录音制品制作者
 authorize (prohibit) reproduction, importation and distribution
许可（禁止）复制、进口和发行
 remuneration for broadcasting and communication of phonograms.
对广播和传播其录音制品获得报酬

Broadcasting organizations: 广播组织
 authorize (prohibit) rebroadcasting, fixation and reproduction
许可（禁止）传播、录制和复制其广播节目
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Limitations on Rights
权利的限制

Rome Convention and national laws allow:
《罗马公约》和国内法允许
 private use,
私人使用
 use of short excerpts,
实事报道中的片断的使用
 use for teaching or scientific research,
教学和科研目的的使用
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Duration of Protection
保护期限

Rome Convention: 20 years (end of year) from:
《罗马公约》：20年，自以下行为发生之年（年底）
 performance took place
表演发生
 fixation (recording) was made
固定（录制）完成
 broadcast took place
广播播出

National laws: longer term
国内法：更长期限

TRIPS Agreement:
TRIPS协定
 performers and producers: 50 years
表演者和音像作品制作者：50年
 broadcasting organisations: 20 years
广播组织：20年
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Enforcement of Rights
权利的实施

Similar to those available to owners of copyright.
类似于著作权所有者权利的实施
 provisional measures
临时措施
 civil remedies
民事救济
 criminal sanctions
刑事处罚
 measures to be taken at the border
边境措施
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Module 4
第四单元
Trademarks
商标
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Introduction
介绍

Trademark (TM): sign that is used to distinguish the goods or
services offered by one undertaking from those offered by another.
商标（TM）：用来区分一个商家与另一个商家所提供的商品或者服务的标识

Characteristics: 特征
 must be distinctive 必须具备显著性
 should not be deceptive. 不应具有欺骗性

TM may consist of: 商标可由以下部分组成






words, 文字
letters, 字母
packaging, 包装
devices, 图案
colors, 颜色
combinations of them, etc.. 上述的组合部分
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Protection of TM
商标保护

Register in the TM Register
在商标注册簿中注册
 condition of trademark protection
商标保护的条件

Unregistered trademarks: less reliable form of
protection
未注册商标：可靠性较差的保护方式
 not protected until it has acquired distinctiveness
and reputation
只有得到了充分的显著性和声誉后才能得到保护
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Collective Marks
集体商标

Belong to a group of enterprises or association
属于特定企业集团或企业协会

Use reserved to members of the group or association
仅集团或协会成员有权使用

Distinguishes goods or services of members from those
of other undertakings.
将特定协会协会成员的商品或服务与其他企业的产品相区分

Inform about certain features of the product
将该集体商标产品的特定性能告诉公众

Members can use the collective mark and its own TM
使用集体商标的企业还可同时使用自己的商标
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Certification Marks
证明商标

Refer to standards met by the products for which a mark is
used. (ISO 9000)
参照使用某一商标的商品符合的标准（ISO 9000）

Indicates that goods or services are certified by the
proprietor of the mark in respect of:
表明商品或服务在以下方面得到了商标所有人的确认
 origin, 产地
 mode of manufacture of goods, 商品制造方式
 quality, or 质量或
 other characteristics

其他特征
Can be used by anybody who meets the defined standards.
只有在符合特定标准下才能使用
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Well-known Marks
驰名商标

Consumers can easily recognize and identify their goods
and services, qualities and features (Sony)
消费者可以毫不费力地认出这些公司的商品和服务、质量和
性能（索尼）

Granted special protection by Paris Convention, TRIPS
Agreement and national laws
巴黎公约、TIPS协定以及很多国家立法都对此提供特殊保护

Characteristics:
特征
 degree of recognition in the relevant sector of the public
相关社会人群对该商标的了解和认知程度
 duration, extent and geographical area of use
使用时间、范围和地理区域
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Registration Procedure
注册程序

Each country separately (territorial rights)
各个国家分别注册（地域性权利）
 protection obtained by national registration
通过国家注册取得保护
 protect TM in all countries to be used
在所有使用你的商标的国家保护你的商标
 differences between national systems
国家之间的注册制度有很大的差异

TM can also be registered in customs territories
商标也可以在关税领土内注册

Regional registration systems
地区商标注册制度
International treaties
involve national registration
国家注册包括
国际条约
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Madrid System
马德里体系


International registration system 国际注册体系
Madrid Union 马德里联盟
 Madrid Agreement (1891)
马德里协定（1891）
 Madrid Protocol (1989) (1996)
马德里议定书（1989）（1996）
 Common Regulations
普通条款

System administered by WIPO
世界知识产权组织管理的体系

Only for States Party to the Madrid Union.
只适用于马德里联盟的缔约国
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Parties to the Madrid Union
马德里联盟的缔约国
Agreement only 12
Protocol only 20
Agreement and Protocol
42
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Advantages
优势
MADRID ROUTE
NATIONAL ROUTE
国家通道

Different procedures

一种程序
不同的多种程序

Different languages

Fees in local currency
当地货币支付费用

Through a local agent

Fees in Swiss francs
瑞士法郎支付费用

通过当地代理

One language (English/French)
一种语言（英语/法语）
不同的语言

马德里通道
One procedure
Local agency only if there is a
refusal
驳回时才需要当地代理
Recording changes: several
operations

Recording changes: one operation
登记修改：一项操作
登记修改：多项操作
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Procedure
程序
basic registration 基础注册
Precondition
前提
International
application
国际申请
or 或者
basic application基础申请
Office of Origin
本国办事处
Checks correspondence with basic
application/registration
核对基础申请/注册的往来函件
checks formalities
核对手续
records in International Register
International Bureau
国际局
在国际注册簿记录
publishes International Gazette
发布国际公报
notifies the designated CP´s
通知申请指定的国家
Office of Designated CP
申请指定国家办事处
Substantive exam
实质审查
Refusal 驳回
no refusal (national reg)
不驳回（国家承认）
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Community TM
TM共同体

Advantages: 优势
 Uniform protection in all countries of the EU
在所有欧盟国家的统一保护
 Simplified formalities
简化手续
 single application. 单一申请
 single language of procedure. 单一程序语言
 single administrative centre (OHIM). 单一管理机构（OHIM）
 single file 单一归档
 Reduced costs
减少费用
 Option of claiming seniority of national TM.
对国内商标要求资历的选择性
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Community TM
TM共同体
ALL NATURAL OR LEGAL PERSONS MAY REGISTER
A COMMUNITY TRADEMARK
(open system)
所有自然人或法人都能申请共同体的商标
（开放式体系）
Domicile
If
如果
定居
Within a country:在以下国家
 member of EU
欧盟成员国
real establishment
真正创立
 party to Paris Conv
巴黎公约缔约国
 signatory to TRIPs
TRIPS签署国
Otherwise, legal representation needed
或者，有法定代表
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Filing Procedure
提交申请程序

CTM applications can be filed
可以提交CTM 申请
 directly at the OHIM
直接向OHIM申请
 at any national patent and trade mark offices of the
Member States
向任何成员国家的专利和商标局申请、

Fees must be paid in euro
费用必须以欧元支付

Registration valid for 10 years, renewed indefinitely.
注册有效期10年，可续展
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Summary
摘要
MADRID SYSTEM
CTM SYSTEM
马德里国际商标


Need of basic application or basic
registration需要进行基础申请或基础注册
Languages: French/English
(also Spanish) 语言：法语/英语 （及西班牙语）



Filing through national IP offices
通过国家知识产权局申请
Grounds for refusal depending on
each CP 驳回领域取决于各缔约国
Fees payable in Swiss franc
费用以瑞士法郎支付


欧盟国家的所有官方语言



Local agent if refusal
Close System
封闭式体系
Filing directly on OHIM
直接在欧共体内部市场协调局申请

驳回时需要当地代理


欧共体商标
No need of basic application/
registration 不需要进行基础申请/注册
All oficial languages of EU states
Grounds of refusal based in standard
regulation 驳回领域基于规范标准
Fees payables in Euros 费用以欧元支付
No need of local agents
不需要当地代理

Open System 开放式体系
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G. Casas & A. Gullón
Macau

“First to file” principle (= China and Hong Kong)
澳门
先申请原则（中国和香港）

Single-class filing system
单一类别申请体系

Macau recently adopted Nice classification under Eighth
Edition"
澳门最近根据英文版本实施了尼斯分类

Series application allowed (black and white mark allows use
in any color combination)
不允许系列申请（黑白商标允许在颜色组合中使用）

Filing fees not determined by number goods
申请费不 取决于商品数量

No requirement of proof of use or intent-to-use
不需要使用证据和意向使用证据
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Macau
澳门

Documents/Applicant’s Details:
提交资料/申请人细节
 Application Form
申请表
 Two clear representations of the TM
两份清晰的商标图样
 Notarized Power of Attorney
经过公证的委托书

Term: 7 years (renewed indefinitely)
期限：7年（可不定期续展）
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Simplified Procedure
简化程序

Applicant fill in a consolidated form
申请人以固定的格式申请
 must be in a local official language (chinese or portuguese)
必须使用当地的官方语言（中文或葡萄牙文）
 attach a photolithographic plate of the TM
附上商标的平版印刷平面图
 submitt to authorities
向管理机构提交

Authorities publish all applications in Macao Official
Gazette (monthly)
管理机构在澳门官方政府公报上公布所有申请者（每月）
 objection in 90 days 90天内驳回
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Priority
优先权

Given to party that first a file application (first-to-file)
赋予第一个提交申请方（先申请原则）
 Exceptions: 例外
 applicants can take advantage of priority given by Paris Convention
for the Protection of Industrial Property;
申请人能够获得由《工业产权保护巴黎公约》赋予的优先权
 applicant has used an unregistered TM for a period not exceeding six
months, has priority to apply for registration within this period;
申请人如果已使用一个未注册的商标不超过六个月时间，有在此期限内
优先申请的权利。
 owner of an internationally well-known trademark enjoys priority, if:
如果出现以下情况，一国际知名商标的持有人享有优先权：
 already filed an application for registration in Macao
已经在澳门提交了注册申请
 files an application for registration in Macao while applying for
rejection of another party’s application for registration of similar
trademark 在澳门提交注册申请的同时申请驳回另一方的相思商标申请
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China vs Hong Kong
中国vs香港

CHINA 中国
first to file principle

在先申请原则

在先申请原则
single-class filing system

no series trademarks

filing fees according to the
number of goods involved

no requirement of proof of use
or intent-to-use
无需使用证据或意向使用证据
fees not determined by the number
of goods involved
费用不是由所涉及的商品数量决定
根据所涉及的商品数量收取申请费

possible to file application in series
可以多类别申请
无系列商标

multiple-class filing system
多类别申请体系
单一类别申请体系

HONG KONG 香港
first to file principle

no requirement of proof of use or
intent-to-use
无需使用证据或意向使用证据
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China vs Hong Kong
中国大陆vs香港
CHINA 中国大陆

Documents: 文件
HONG KONG 香港

 Application Form
 Application Form
申请书
 Five TM reproductions. If
color claimed, 5+2 in black
& white
申请书
 One clear
representation of
the mark.
五份商标图样，如果带颜色，黑
白商标两份，彩色商标图样五份
 POA duly signed. No
notarization/legalization
required
一份商标图样
签署的委托书， 无需公证

Documents: 文件
 No POA
Term: 10 years (renewed
indefinitely)
无需委托书
有效期10年(可续展）

Term: 10 years (renewed
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indefinitely)
China
中国

Foreign applicants must use an authorized TM agent
外国申请人必须使用一个获得授权的商标代理

TM application must be in Chinese
商标申请必须使用中文

Prohibited TM (Trademark Law):
被禁止的商标（商标法）
 similar to State name, national flag, emblem or military flag of PRC
or foreign country






类似于中华人民共和国或其他国家的国名、国旗、国徽
generic names 属类名称
names of administrative regions 行政区域名称
direct reference to quality… 直接描述质量
discriminate any nationality 形容任何国籍
exaggerate and deceive in advertising 夸大或欺骗性广告
detrimental to socialist moral 损害社会公德
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Infringement
侵权

Administrative procedure (SAIC):
行政程序（国家工商行政管理总局）
 SAIC conducts investigation
国家工商行政管理总局进行调查
 actions taken: 进行的行动
 issue order demanding cessation
发布要求终止的命令
 confiscate and destroy products, molds…
没收和销毁产品、模型……
 demand removal of TM
要求商标解除
 monetary fine (up to RMG 10,000)
处以罚款（最高人民币一万元）
 order compensation to owner
命令对商标持有人进行赔偿

Judicial procedures 司法程序
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Module 5
第五单元
Geographical Indications
地理标志
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Introduction
介绍

Indicates origin of goods and services
表明货物和服务的产地
 Include: 包括
 indications of source, (Made in China). 产地标志（中国制造）
 appellation of origin, (Champagne). 原产地名称（香槟）
 geographical indication 地理标志
 GI vs. TM 地理标志与商标
 TM: 商标
 individual trader 单独贸易商
 distinguish goods or services from those of competitors
与其竞争对手区分产品或服务
 GI: 地理标志
 show that products have a certain regional origin
表明某一特定产品产于某一特定地区
 available for all producers in that region
该地区的所有生产者都可以使用
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Ways of Protection of Gis
地理标志保护方式

Through "sui generis" legislation or decrees (France)
通过专门立法或法令进行保护（法国）

Register of Gis
对地理标志进行注册

Unfair competition law
反不正当竞争法

Collective marks or Certification marks
集体商标或证明商标

International protection: difficult in practice
国际保护：实际操作中十分困难
 bilateral agreements: protection on reciprocal basis
双边协议：在互惠的基础上进行保护
 multilateral agreement: Lisbon Agreement (WIPO)
多边协议：《里斯本协定》（世界知识产权组织）
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Appellations of Origin vs GIs
原产地名称vs地理标志

Appellations of origin are specific types of GI.
原产地名称是地理标志的特殊种类

GI states that a product comes from a certain area
地理标志表明某一特定产品是来自一个特定区域

Appellation of Origin
原产地名称
 more precise GI
更加具体的地理标志
 specifies that the product has certain qualities due
essentially place of origin
标明商品由于产地而具备的特殊品质

Appellation of Origin = GI ; GI ≠ Appellation of Origin
原产地标志=地理标志；地里标志≠原产地标志
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International Protection Systems
国际保护制度


Paris Convention (GI)《巴黎公约》（地理标志）
Lisbon Agreement (appellations of origin)
《里斯本协定》（原产地标志）
 provides an international registration system
建立了一个国际注册制度
 administered by WIPO
由国际知识产权组织所管理

TRIPS Agreement: 《与贸易有关的知识产权协定》
 integral part of WTO system
世界贸易组织制度的组成部分
 all members of WTO protect Gis
世界贸易组织的所有成员保护地理标志
 higher protection for GIs (wine, spirits)
对地理标志的更高保护（葡萄酒和烈酒）
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Macau
澳门

Documents required for application:
申请所要求的文件
 completed designation of origin and GI application form
填写完备的原产地和地理标志申请表
 certificate of regulated conditions for use of designation of origin or
GI and limits of the respective locality or region
原产地或地理标志常规使用条件证明以及两者地区或地域的限制
 power of attorney 委托书
 priority claim documents 要求优先权的文件
 other supporting documents 其它支持性文件

If documents and/or certificates are not written in Chinese or
Portuguese, translated copies are required
如果文件及/或证明不是以中文或者葡萄牙文书写的，要求翻译件
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Process of the application

申请程序
Submit application form (Chinese or Portuguese) to Industrial
Property Application Counter of Reception Centre of MES.
向MES接待中心工业产权申柜台提交申请表（中文或葡萄牙文）

If application is in order, it will be published in Series II of
Official Gazette of the Macao SAR
如果申请适宜，将会在澳门SAR官方政府公报第二版公布
 If no opposition against within two months, application will enter the
examination phase
如果两个月内没有驳回，申请将进入审查阶段

After registration is granted, it will be published in the Official
Gazette of the Macao SAR
在注册被接受后，将会在澳门SAR官方公报予以公布
 Include application number and applicant’s name
包含申请编号和申请人姓名

Obtain the registration certificate
取得注册证书
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China
中国

China has no specific law for GI protection
中国没有地理标志保护专门的法律

GI applications may be registered as certification
or collective marks under the Trademark Law and
Regulations.
地理标志申请可以在商标法律法规下作为证书或者集
体商标进行注册
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Documents
文件

Name and address of applicant (chinese translation)
申请人的姓名和地址（中文翻译）

10 reproductions of the TM ( not exceed 10 cm but not less than 5 cm).
10份商标复印件（不超过10 cm但是不小于5 mm）

If color claimed, 2 reproductions in black & white in addition to 10 color ones
如果是彩色的，10份彩色复印件的基础上另外附加两份黑白复印件



List of goods/services 商品/服务清单
Certificate of Incorporation 法人证明
Qualification certificate (prove capability for supervising quality of goods)
质量证明（监督货物质量的能力证据）

Certification Rules for the use of the certification trademark.
商标证书使用的证明条款
 purpose of using the mark; 使用商标的目的
 particular quality of the goods; 商品的特殊质量
 procedure for using the mark; 使用商标的程序
 rights and obligations of use; 使用的权利和义务
 liability of user for breaching the rules. 违反规则使用者的责任

Certificate of legal protection in the country of origin.
原产地法律保护的证明

POA. No notarization and legalization required.
不需要进行公证和认证的委托书
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Procedure
程序

Submit application form (Chinese) to the China Trademark
Office (CTO).
向中国商标局（CTO）提交申请表（中文）

CTO examines application:
商标局审查申请
 grants preliminary approval to those marks which are in
compliance with the provisions
对符合规定的商标准予初步批准
 publish them (3 months)
进行公布（3个月）

If no opposition is filed or the opposition is not tenable, TM
will gain registration
如果没有提交驳回申请或者驳回不可维持，商标将获得注册
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Hong Kong
香港

No specific system
无特别制度

Protection through Certification TM
通过商标证书进行保护

Regulations in the form of a Statutory Declaration governing the
use of Certification mark (9 months after application date)
通过法定声明形式的规范来管理商标证书的使用（申请日期后9个月）
 Fill in an application form (same as normal TM application)
填写一份申请表（和正常的商标申请一样）

No POA required
不需要委托书

Time frame: 18 months.
需要时间：18个月

Term of protection: 10 years (renewable)
保护期限：10年（可续展）
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Module 6
第六单元
Industrial Design
工业外观设计
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What is an Industrial Design?
什么是工业外观设计？

Aspect of an article which is ornamental or aesthetic
一件物品中具有装饰性或者美感的部分
 three-dimensional (shape or surface)
三维特征（形状或外表）
 two-dimensional (lines or color)
二维特征（线条或颜色）

Constituted by the appearance of a product:
由产品的外观构成
 not necessarily distinctive (≠ TM)
不一定非要具有显著性特征（不同于商标）
 object of protection: appearance, not functionality (≠
Patent)
保护的对象：外观，不是功能（不同于专利）
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Why protect Industrial Designs?
为什么要保护工业品外观设计？

Aspect of an article:
一件物品的构成部分
 makes it attractive,
使其具有吸引力
 add commercial value
增加商业价值
 facilitate its marketing and commercialization.
促进其营销和商业化

Right against: 有权阻止
 making 制造
 selling 销售
 Importing 进口
articles bearing the design
饱含受保护设计的物品
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Protection of Industrial designs
工业品外观设计的保护

Must be registered in order to be protected
必须通过注册获得保护

To be registered, must be new or original
进行注册，该外观设计必须是“新的”或“原创的”
 registration process varies from country to country
国与国间的注册程序不同

Must be capable of being reproduced by industrial means (industrial
application)
必须能够用工业手段实现（工业应用性）

Must be possible to apply to an article (two-dimensional or threedimensional)
必须可以应用于一件物品（二维或三维）

Must be published
必须公开

Possible to protect under copyright or unfair competition law
可以用著作权法或反不正当竞争法来保护
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Term of Protection
保护期

Varies from country to country
国与国之间不同

Typically 5 years
典型的保护期为5年

Possibility of renewal up to 15 to 25 years
可以续展至15年至25年

TRIPS agreement: minimum duration 10 years.
TRIPS协议的最低要求为10年
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Worldwide protection
全球性保护

Protection limited to the country where granted. (Paris
Convention)
保护限于被要求给予保护的国家（《巴黎公约》）

Protection in several countries, separate national
applications (procedures different in each country)
在多个国家进行保护，必须提交单独的国家申请（每个国家的程序
不同）
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China
中国

Three type of Patents:
三种专利类型
 Design Patent 设计专利
 Patent of Invention 发明专利
 Utility Model 实用新型

No specific law in China (protected by Patent Law)
中国没有特别法（受专利法保护）

Filed with the State Intellectual Property Office (SIPO)
向国家知识产权局（SIPO）提交申请

Term of protection: 10 years from filing date.
保护期限：自申请日期起10年
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Documents required
所需的文件

Letter of instructions;
说明书
 Information about applicant and designer
关于申请人和设计人的信息

Executed Power of Attorney (within three months);
付诸实施的委托书（三个月内）

Documents concerning the design
有关设计的文件
 Set of drawings or photographs 一套图片或照片
 Explanation of main parts 主要部分的解释

Priority documents (if claimed);
优先权文件（如果要求优先权）
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Requirements of drawings/photos
图片/照片要求

Projection relations must be correct
投影比例必须正确

Size of drawings:
图片尺寸
3 cm x 8cm < size < 15 cm x 22cm.

Photographs can be provided
能够提供照片

Drawings of different views (excluding the perspective view)
must be in a consistent proportional relation.
不同视角的图片（包括透视图），必须根据相应的比例

Highlight, shadow or background shall be avoided
高光、阴影或者背景应予以消除
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Examination procedure
审查程序

Formality examination applies to: 官方审查将应用于








The subject matter 主题
Request form and appending documents （要求表和附加文件）
Drawings 图片
Brief explanation 简短的解释
Unity (two designs with “same class, be sold or used in sets“ can be filed in one single
application ) 统一性（”同种类，成套销售或使用的”两种设计）能在一次申请中提交
Symbol of class 种类象征
Amendment 修正
Notice of correction if defects are found (2 months to respond)
如果发现缺陷会发放纠错通知（两个月内回复）

When granted, 2 months for registration formalities (registration fee, annual fee
and stamp tax for certificate)
一旦申请批准，两个月内缴纳申请官费（注册费、年费和证书印花税）

After registration formalities, design patent right will be registered
官方注册之后，设计专利权将予以登记

Design published on SIPO Official Gazette after granting
在批准之后设计将在SIPO官方政府公报上公布

It takes about 6-12 months for a design application to be granted
设计专利申请获得批准大约需要6-12个月的时间
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Macau
澳门

Design application filed with Economic Bureau of
Macao SAR
向澳门经济局提交设计专利申请，澳门政府公布告示

Term of protection: 5 years from filing date
保护期限：申请日期日起5年
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Documents required
要求的文件

Name, nationality, activity and address of Applicant
申请人的姓名、国籍、经营活动和地址

Name, nationality, activity and address of Creator
发明者的姓名、国籍、经营活动和地址

Photolithography of the object
申请目标的平版印刷件

Description of the design (detailed explanation of the ornamental
shape)
设计专利描述（装饰性形状的详细解释）

Summary of the design (less than 150 words)
设计简介（少于150个字）


Notarized Power of Attorney 经过公证的委托书
Priority document (if claimed) 优先权文件（如果要求优先权）
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Hong Kong
香港

Under the Hong Kong Registered Design Ordinance
由《香港注册外观设计法例》规范

Filed with the Hong Kong Design Registry
向香港外观设计注册处提交申请

Formality examination
官方审查

Term of protection: 5 years (renewable for four more periods of 5
years) maximum of 25 years
保护期限：5年（可续展更多的5年期限），最多25年
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Documents required
要求的文件

Applicant's name (English and Chinese, if available), address and
Country of Incorporation.
申请公司姓名（英文和中文，如果两者皆有的话）、地址和国家

Brief description of articles to which the design applies
(English and Chinese)
设计所运用商品的简短描述（中文和英文）

Drawings/Photos (six views of the article)
图片/照片（商品的六个视角）

Requirements: 要求
 Drawing: not bigger than 210 mm x 297 mm.
图片：不大于210 mm x 297 mm
 Photo: not bigger than 160 mm x 160 mm.
照片：不大于160 mm x 160 mm
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Other documents
其它文件

If applicant is not the designer, explain his right to the
design
如果申请人不是设计者，解释他对设计的权利

If applicant for HK is different from priority application,
must prove his right within 3 months from filing HK
application
如果在香港进行申请的申请人与优先权申请人不同，必须在香港提
交申请日期起三个月内证明他的权利

No POA required
不需要委托书

Language in application: Chinese or English (in certain areas
both languages are required)
申请语言：中文或英文（特定领域两种语言都要求）
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Hong Kong
香港

A single application can include more than one
design if:
如果出现以下情况，一次简单的申请能够包含一个以
上设计：
 same class of articles according to Locarno
classification, or
根据洛迦诺分类的同一种类的商品
 designs relate to same set of articles
与同一套商品相关的设计

Fee reduction
费用降低
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Procedure
程序

Formality examination,
官方审查

Design registered and published in the HK
Government Gazette
在香港政府公报注册和公布的设计

Certificate of registration issued to applicant.
向申请人签发的注册证明
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Module 7
第七单元
Patents
专利
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What is a Patent?
什么是专利？

Document
文件

Describes an invention
描述发明

Protects new and useful inventions
保护新的并且可使用的发明

Grants the owner exclusive rights for a limited period of time
授权专利权人在特定期限内的独占性权
 to use his/her invention
使用他/她defaming
 to authorize exploitation
授权使用

Invention: new solution to a technical problem.
发明：技术问题的新的解决方案
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What can be patented?
什么可以成为专利？

Any invention in all areas of technology (processes or products)
所有技术领域的任何发明（方法或是产品）

Cannot be patented:
不能获得专利的：
 human genes
人类基因
 things that already exist in nature
已经存在于自然界的东西
 a perpetual motion machine, which goes against the laws of
nature
永动机，违反了自然法则
 inventions against public or moral order.
违反公共秩序或道德方面的发明
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Other common exclusions
另一些共同的例外

Scientific theories or mathematical methods
科学理论或数学方法

Schemes, rules or methods, such as those for doing business,
performing purely mental acts or playing games
计划、规则或方法，例如那些用于商业方面的，纯粹的智力活动或游戏

Methods of medical treatment for humans or animals or
diagnostics methods (not the products used in the diagnosis)
人类或动物疾病的治疗或诊断方法（非用于诊断的产品）

Plants and animals other than micro-organisms, and essentially
biological processes for the production of plants other than
nonbiological and microbiological processes.
除微生物之外的植物和动物，除非生物和微生物方法之外的主要是生物方
法的培植植物的方法。
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Conditions for patentability
取得专利的条件

New (novelty): 新的（新颖的）
 never made, carried out or used before (state of the art)
以前从来没有被发明、实施或使用过（现有技术）

Inventive step: 创造性
 must represent a sufficient advance in relation to the
state of the art
与现有技术相比具有显著进步
 "non-obvious"
“非显而易见性”

Industrially applicable: 工业实用性
 susceptible of use
可以使用
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How to obtain a Patent
如何取得专利


File an application 提交专利申请
Patent Office examine the application to determine whether
the criteria is met
专利局在决定授予专利之前进行审查
 Other formalities 其它的形式要求
 sufficient disclosure of the invention
发明是否完全公开

‘First-to-file’ system “先申请”制
 Importance of filing date
专利申请日很重要
 ‘the right of priority’
“优先权”
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Benefits
益处

For the period of protection, patent holder may
exclude others from:
在保护期内，专利权人可以阻止他人以下领域的活动






making, 制造
using, 使用
offering for sale, 许诺销售
selling, and 销售及
Importing 进口
the patented invention
Patent owner has the right to assign (sell) or license
the patent (transferable)
专利权人有权转让（出售）或授权专利（可转让）
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Term of Protection

Typically 20 years from filing date
保护期限
一般为自申请日起20年

On expiration, technology becomes public property (public is free to use it)
专利期限届满时，该技术变为公共财产（公众可以无偿使用）

Compulsory licensing:
强制许可
 exclusive rights of a patent can be used without owner’s
authorization
不包括无需专利权人授权即可使用的权利
 authorized by Court or Patent Office

由主管法院或专利局授权
prevents: 防止
 abuses from the exclusive rights conferred by a patent
专利独占权可能造成的滥用
 non-use of the patented invention within a prescribed period
在一定时间内未被使用的发明
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Enforcement
实施

Patent holder must:
专利权人必须
 detect potential or actual infringements
发现潜在行为或实际的侵权行为
 bring them to the infringer's attention
提醒侵权者注意上述行为

Warning letter
警告信函
 suppression of infringement
表达侵权
 licensing arrangement
许可协议

Infringement action
侵权行为
 administrative (Patent Office)
行政管理机构（专利局）
 judicial (Court)
司法机构（法院）
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Worldwide protection
全球保护

No patent covers every country in the world
没有一项专利可以覆盖世界上所有的国家

Patent system is still a territorial system
专利制度还是一个地域性制度

Protection in different countries requires a patent in each of
them
在不同国家得到保护，必须获得每个国家的专利权

Patent Cooperation Treaty (PCT), single international
application that can become a number of national
applications
《专利合作条约》，一份国际申请可以成为多个国家的申请

European Patent Organization, a single examination results
in a number of national patents
欧洲专利组织，一次审查就可以获得多个国家的专利
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Other ways of protection
其它保护方法

Patent: most effective way of protecting an invention
专利：保护发明最有效的途径
 granted in return for full disclosure of the technology
以向公众完全公开其技术为代价交换而来的保障

Trade Secrets:
商业秘密
 keep the technology secret
保留技术秘密
 keep information confidential
保留保密信息
 very suitable for the know-how
非常适合保留技术诀窍（know-how）
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Patent in Macao
澳门专利

Type of Patents:
专利类型
 Invention
发明
 Utility model
实用新型
 Design
设计
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Documents
文件







Application form 申请表
Power of attorney 授权书
Abstract (resume) 摘要
Description 说明书
Graphics 说明书之附图
Claims 权利要求书
Priority document if there is 优先权文件，如果要
求
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Patent extension from China to Macao
中国至澳门的专利延伸

Extension of granted invention patent:
所授予的发明专利延伸
 Patent in China has already been granted
专利在中国已经授予

Extension of invention patent application:
发明专利申请的延伸
 Patent in China is still filing, not yet approved
专利在中国依旧在申请中，还没有获得批准
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Extension
续展

Documents: 文件







Application form 申请表
Power of attorney 授权书
Abstract (resumo) 摘要
Description 說明書
Graphics 说明书之附图
Claims 权利要求书
Copy of SIPO document: show resent status of
application
知识产权局文件复印件：展示申请最近状态

THREE months after China patent is granted:
专利授予三个月后
 China SIPO Certificate (Final version 中国知识产权局证书（最新
版本）
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 China Patent
Record 专利登记册副本
Patent in Macau
澳门专利

Patent examination carried out by SIPO
知识产权局进行的专利审查

all documents submitted must be in Chinese
所有提交的文件必须是中文的

POA, assignment documents, license documents,
consent letter and declarations must be duly notarized
before submission to Macau IP office.
委托书，协议文件，授权文件，承诺书以及声明在向澳门知识产权
局提交前进行公证

Term of protection: 20 years from filing date in China保
护期限：自在中国提交申请日期起20年
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China
中国
Chinese Patent Law
中国专利法

First Patent Law effective since April 1985
第一部专利法1985年4月生效

Revised Patent Law effective since January 1993
修正后的专利法自1993年1月生效

Second Revised Patent Law effective since July 2001
第二次修正后的专利法自2001年7月生效

Last amended in July 31st, 2006 (not approved yet)
最后一次增补在2006年7月31日（还未通过）
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Term of Patent protection
专利保护期限
Category
类别
Invention
Term 期限
( Starting from the filing date)自申请日期
20
发明
Utility model
10
实用新型
Design
10
设计
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Documents required
要求的文件

Letter of instructions;
说明书
 Information about applicant and designer
申请人和设计者信息

Executed Power of Attorney (within three months);
履行中的委托书（三个月内）

Documents concerning the design
有关设计的文件
 Set of drawings or photographs 成套图片或照片
 Explanation of main parts 主要部分的解释

Priority documents (if claimed);
优先权文件（如果要求优先权）
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Procedure


Formality examination 官方审查
1st publication (18th month from filing date)
程序
第一次公布（自提交申请日期期第18个月）

Substantive examination: on request of applicant within 3 month
from filing/ priority date
实质性审查：根据申请在提交申请/要求优先权日期起三个月内
 Voluntary amendment: 自愿修正
 when filing request for substantive examination, or
提交申请进行实质性审查，或者
 within 3 months from notice of entering the substantive examination
issued by SIPO.
收到SIPO签发的进入实质性审查通知奇三个月内

Registration formalities: 2 months from receiving granting notice
(registration fee, annual fee, maintenance fee and stamp tax for
patent certificate)
注册官费：自收到授予通知起两个月内（注册费、年费、维护费和专利证
书印花税）
 Granted & 2nd publishing 授予专利和第二次公布
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Re-examination, Invalidation and Appeal to
Court
复审、失效和法院诉讼

If application rejected, applicant can file reexamination
request (Reexamination Board)
如果申请被驳回，申请人可以提交复审要求（复审局）

After patent is granted, any party can request the Patent
Reexamination Board to declare a patent right invalid
专利授予之后，任何方都可以要求专利复审据宣布专利权实
效

Decision by Reexamination board can be appealed to
Court
复审局的决定可以提交法院诉讼

Action must be taken within 3 months from notification
所有行动必须在通知日起三个月内进行
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Hong Kong Patent
香港专利

Types of patent: 专利类型
 Standard Patent 标准专利
 Protection: 20 years from filing date
保护期：自提交申请日起20年
 Short term Patent 短期专利
 Protection: 4 years from filing date (renewable for
another 4 years)
保护：自提交申请日起4年（可再续展4年）
 Design 设计
 5 years, renewable for four more periods of 5 years
each, totaling a maximum of 25 years.
5年，可再续展四期，每期为5年，总共最多25年
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Standard Patent
标准专利

File a standard patent, should be based on:
提交申请标准专利，应当以以下条件为基础：
 International application designating PRC
以中国为目的国的国际申请
 Patent granted by SIPO (China)
专利由知识产权局（中国）授予
 Patent granted by the EU Patent Office, in respect of
patent designating the UK
以英国为目的国的申请，专利由欧盟专利局授予
 Patent granted by UK Patent Office
英国专利局授予的专利
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Documents
提交文件

Copy of designated patent application as published
公布的指定专利申请复印件

Copy of international application as published (if
designated patent application is the national phase of PCT
application)
公布的国际专利申请复印件（如果指定专利申请是PCT深情地国
内阶段）

If applicant is not same as in designated patent
application, proof of applicant's entitlement to apply for
standard patent in HK
如果申请人与指定专利申请中不一致，在香港申请标准专利
须提交申请人权利证明

Abstract of the invention (English and Chinese)
发明摘要（中英文）
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Registration procedure
注册程序

Request to Record patent application:
要求记录专利申请
 once patent application published by designated patent office
专利申请一旦被指定专利局公布后
 applicant file a Request to Record application with the HK Patent Registry (6
months, with no time extensions)
申请人向香港专利注册处提交记录专利申请的要求（6个月，不能续展）

Request for Registration and Grant of the designated patent, when:
当出现以下情况时，指定专利的注册和准予的要求
 Request to Record in HK has been recorded at the HK Patent Registry and
published, or 在香港进行记录的要求已经在香港专利注册处记录并且公布，或者
 Patent has been granted by the designated patent office,
专利已经被指定专利局准予
 Applicant file a Request for Registration and Grant with the HK Patent
Registry within 6 months (no time extension allowed)
申请人6个月内向香港专利注册处提交注册和准予要求（不允许延期）
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Effects
效果影响

Once registered, the Hong Kong Patent will
become "independent" from the designated patent.
一旦注册后，香港专利将“独立”于指定专利
 validity can only be challenged in HK Courts
只能由香港法院宣布实效
 protection term is 20 years from filing date
保护期限是自提交申请日期起20年
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Short term patent
短期专利

Patent directly filed and issued in Hong Kong 专利直接在香港提交申请和批准

Protects products or processes of short commercial life.
短暂商业期限内保护产品或程序

Process: 程序
 applicant directly files application with HK Patent Registry
申请人直接向香港专利注册处提交申请
 may claim priority of application filed in a member states of the Paris
Convention 可以向《巴黎公约》缔约国家要求优先权图提交申请
 include a search report from major international search authority designated by
WIPO (Chinese Patent Office)
包含来自WIPO指定当局（中国专利局）的主要国际调查的调查报告
 application notification. 申请通知
 HK Registry will issue a short term patent once application passes the
examination 申请通过审查后香港注册处将签发短期专利

Protection term: 4 years from filing date (renewable for 4 years)
保护期限：自提交申请日期起4年（可续展4年）
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Documents
文件

Specification, including a description, claims and
drawings
说明书，包括描述、权利要求和图片

Search report in relation to the invention
有关发明的调查报告

Verified priority documents, if applicable
如果申请，提供经过证明的优先权文件

Abstract of the invention in both English and
Chinese
中英文书写的发明摘要
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Module 7 B
第七单元 B
Utility Models
实用新型
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Utility Models
实用新型

Also used to protect inventions
也用来保护发明

Usually used for:
通常用于：
 less complex inventions (innovations)
不太复杂的发明（创新）
 inventions with short commercial life
短暂商业期限内的发明

Procedure to obtain protection is shorter and simpler
than for Patents
比专利获取保护的时间短并且简单
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Difference with Patents
与专利的区别

Less stringent requirements:
高标准要求较少
 novelty: must always be met
新颖性：通常需要符合这一要求
 inventive step: less or even absent
发明步骤：较短或者甚至没有

Shorter term of protection: 7 – 10 years
保护期限较短：7至10年

Lower fees for register and maintain it
注册和维护为用较少
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China
中国

Any new technical solution relating to the shape, structure, or their
combination, of a product which has a practical use
某一产品的任何新的有关形状、结果或者拼合的，具有实际用途的
新的技术解决方案
 Protected under Chinese Patent Law (no individual law)
受中国专利法的保护（无单独法律）

Filed with SIPO
向知识产权局提交

Formality examination only
只需要官方审查

Voluntary amendment within 2 months from filing date
自提交申请日期起两个月内自愿修正

Term of protection : 10 years from filing date
保护期限：自提交申请日期起10年
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Required documents
需要的文件

Letter of instructions;


说明书
Information about applicant and inventor 关于申请人和发明人的信息
Executed Power of Attorney (within three months);
履行中的委托书（三个月内）

Documents Concerning the Utility Model
关于实用新型的文件

Description: describes utility model as to enable a person skilled in the relevant field of
technology to carry it out
描述：描述的实用新型能够使某人在相关技术领域获得技能并进行运用的

Claims: set the extent of protection requested
要求权利：设置所要求保护的延伸

Abstract: briefly state the main technical points of the utility-model
摘要：简洁陈述实用新型的主要技术点

Drawings of Description: illustration of Description with graphics to enable a person to
understand the technological characteristic of the inventions
说明书附图：说明书图解带有图片，能够使人理解发明的技术特点


Drawing of Abstract: illustrates the invention-creations best
图片摘要：发明-创造的最佳图解
Priority documents (if claimed);
优先权文件（如果要求优先权）
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Procedure
程序

Priority period of application for utility model is 12
months
实用新型申请的优先权期限为12个月

Application must include drawings
申请必须包含图片

It usually takes one year to be granted
通常需要一年获得准许

Published after granted
准许后予以公布
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Case Study:Viagra
案例研究：万艾可

Pfizer obtained a patent in China for the drug
in September 2001.
2001年9月，辉瑞公司在中国取得万艾可药物的专利权。
A petition was filed by its competitors to SIPO
to invalidate the patent.
其竞争者向国家知识产权局提出该专利的无效宣告请求。

In July 2004 SIPO’s patent re-examination
board held the patent was invalid on the
ground of insufficiency.
2004年7月，国家知识产权局专利复审委员会以公开不
充分为由宣告该专利权无效。
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Case Study:Viagra
案例研究：万艾可

The Patent Reexamination Board declared
the Viagra patent invalid because:

专利复审委员会宣告万艾可专利权无效的理由是：
 The technology described in the patent claims
was not fully disclosed in the Specification, as
required by Article 26, paragraph 3 of the
Patent Law.
该专利权利要求中记载的技术内容没有在说明书中
充分公开，不符合专利法第26条第3款的规定。
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Case Study: Viagra
案例研究：万艾可

Pfizer appealed to the Beijing first
intermediate people’s court.
辉瑞公司向北京市第一中级人民法院提起诉讼。

In June 2006 the court allowed Pfizer’s appeal
and dismissed SIPO’s invalidation decision:
2006年6月，北京市第一中级人民法院判决支持辉瑞公
司的诉讼请求，同时撤销国家知识产权做出的无效宣告
请求审查决定：
 On the ground that the patent description was
sufficient under the Chinese patent law.
判决理由是该专利公开充分，符合中国专利法的规定。
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Case Study: Viagra
案例研究：万艾可

Legal point:
法律观点：
 To what degree should the uses and effects of a drug be
publicized in the Specification.
说明书中有关药物用途和疗效的说明应公开到何种
程度。
 Applicants should try to balance full disclosure with patent
protection concerns.
申请人应尽量平衡公开充分和专利保护顾虑之间的
关系。
The critical important data with significant market potential
should not be publicized
有巨大市场潜力的关键性重要数据不应公开。
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Module 8
第八单元
International
Registration Systems and the PCT
国际注册体系和PCT
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Introduction
介绍

WIPO administers specific treaties and
conventions:
WIPO管理专门条约和协议
 the Madrid System (trademarks)
马德里体系（商标）
 the Hague System (industrial designs)
海牙体系（工业外观设计）
 the Lisbon Agreement (appellations of origin)
《里斯本协定》（原产地名称）
 PCT (patents)
专利合作协定（专利）
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Registration Systems
注册体系

The Madrid system: 马德里体系
 international registration of trademarks
商标国际注册
 governed by two treaties:
由两个条约进行管理
 the Madrid Agreement 《马德里协定》
 the Madrid Protocol 《马德里议定书》

The Hague Agreement: 《海牙协定》
 international deposit of industrial designs
工业品外观设计国际注册

Lisbon Agreement: 《里斯本协定》
 international registration of appellations of origin
原产地名称国际注册
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The Madrid System
马德里体系
1.
File international application 提交国际申请

International Bureau of WIPO (Geneva)
WIPO国际局（日内瓦）

designate countries where protected (party to the treaties)
指定其商标希望得到保护的国家（条约成员国）
2.
International Bureau: 国际局

registers the mark (no substantial examination)
注册商标（无实质审查）

pass it to designated countries
将其转给被指定的国家
3.
Designated countries: 被指定的国家

examine application (distinctive and conflict)
审查申请（显著性和冲突）

apply national criteria
适用国家标注准
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The Madrid System
马德里体系

National registration before international application
本国注册先于国际申请
 extent protection form domestic registration to other
countries of the Madrid Union.
将本国注册扩大到马德里联盟的其他国家

Dependent relationship (5 years)
独立关系（5年）
 if national application is refused, same effect on
international registration
如果本国申请被驳回，会相应影响到国际注册
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Procedure
程序
basic registration 基础注册
Precondition
前提
International
application
国际申请
or 或者
basic application基础申请
Office of Origin
本国办事处
Checks correspondence with basic
application/registration
核对基础申请/注册的往来函件
checks formalities
核对手续
records in International Register
International Bureau
国际局
在国际注册簿记录
publishes International Gazette
发布国际公报
notifies the designated CP´s
通知申请指定的国家
Office of Designated CP
申请指定国家办事处
Substantive exam
实质检查
Refusal 驳回
no refusal (national reg)
不驳回（国家承认）
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Advantages
优势

One application
一次申请

One language (English/French)
一种语言（英语/法语）


One Office 一个管理机构
Fees in Swiss francs
瑞士法郎支付费用

Term of protection: 10 years
保护期限：10年
 Renew indefinitely by paying fees
通过支付费用可续展
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The Hague System
海牙体系

Industrial design protection limited to country
where granted
工业品外观设计保护仅限于申请并获得授权的国家

Protection in several countries requires separate
national applications (different procedures in each
country)
想在多个国家获得保护，必须分别提交国家申请（不同的
国家程序不同）

Hague System: enable protection in a number of
countries through a single deposit
海牙体系：通过一份保存就可以在数个国家获得保护
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Advantages
优势

Administered by WIPO
由WIPO管理

Protection in several countries (party to the agreement)
在数个国家获得保护（协议缔约国）

Single deposit filed with International Bureau of WIPO
向WIPO国际局提交一份保存
 no national deposit required
不需要国家保存

One language (English or French)
一种语言（英语或法语）

Single payment (Swiss francs)
一笔费用（瑞士法郎）
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Term of Protection
保护期限

Minimum: 10 years.
最短：10年

Typically: 15 - 20 years
普遍：15-20年

European Union: 25 years
欧盟：25年
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Procedure
程序

Similar to the Madrid Agreement
与马德里体系相类似

Protection in countries party to the Agreement
在协定缔约国受到保护

No national protection pre-required
不要求首先在本国得到保护

International application:
国际申请
 entered in the International Register
被记入国际注册簿
 published by the International Bureau
由国际局公布
 notified to the countries concerned (grant or refuse protection)
通知相关各国（赋予或拒绝保护）
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Patent Cooperation Treaty (PCT)
专利合作条约（PCT）

National system requires individual applications in each
country where protection is sought (principle of territoriality)
国家专利制度要求申请人向每个他希望得到保护的国家单独提交申
请（地域原则）

PCT: simplified procedure to obtain protection in several
countries
PCT：在若干个国家获得保护的简化程序

Objectives: 目的




simplify, 简化
more effective, 更有效
economical, 更经济
promote the exchange of technical information
促进技术信息交流
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Protection
保护

PCT system does not grant worldwide patents.
PCT制度不授予全球专利
 national offices grant a patent based on the PCT
application
国家局授予专利建立在PCT申请的基础上
 there is no such thing as a worldwide patent
不存在所谓的全球专利
 a number of regional and/or national patents
一定数量的地区及/或国家专利
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Procedure
程序
1.
File an application with a receiving office
向一个接收局提交申请

home country of applicant
申请人本国

another national office or a regional office
另一个国家局或地区局

International Bureau in Geneva (not very common)
日内瓦的国际局（不是非常普遍）
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Procedure
程序
2.
International phase: 国际阶段


filing, 提交申请
international search, 国际检索

International Search Authorities (11 offices)
国际检索机构（11个局）

not available to all PCT applicants (languages)
并不适用于所有PCT申请人（语言）

international publication, 国际公布



International Bureau (Geneva) 国际局（日内瓦）
WIPO publishes all PCT applications
WIPO公布所有PCT申请人
international preliminary examination 国际初步审查
 office that carried out the international search
进行国际检索的局
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Procedure
程序
3.
National phase:
国家阶段

only if applicant wishes to go ahead with
application
只有申请人愿意进入的情况下

process international application before a national
or regional patent Office
国际申请程序在国家或地区专利局之前
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Procedure
程序
National Phase
国家阶段
International
Phase
Country B
B国
Country D
D国
Country A
A国
Country C
C国
Country E
D国
国际阶段
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European Patent
欧洲专利

National phase: applicant processes international
application before a national or regional patent
Office (European Patent Office)
国家阶段：申请人在向国家局或地区局申请前提交国际
申请

European Patent Office grants European patents
欧洲专利局授予欧洲专利

European patent: same effect as a national patent
欧洲专利：与国家专利局有同等效力
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Advantages
优势

For the applicant:
对申请人而言
 By filing one application will obtain an international
filing date
通过提交一次申请将获得一个国际申请提交日期
 Applicant gains time before deciding whether to go
ahead with the application
申请人在决定是否继续申请前有一段时间
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Advantages
优势

For national Patent Offices
对各国专利局而言
 can handle more patent applications
能够处理更多的专利申请
 can save publishing costs
能够节省公共开支
 not affect revenues of designated Offices
不会影响指定局的税收

Examining Patent Offices benefit from:
专利审查局将从以下两份材料获得益处：
 an international search report
一份国际调查报告
 an international preliminary examination report
一份国际初步审查报告
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Module 9
第九单元
Unfair competition
不正当竞争
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What is Unfair Competition?
什么是不正当竞争？

Paris Convention: “any act of competition contrary to honest
practices in industrial or commercial matters”.
《巴黎公约》：“凡在工商业事务中违反诚实的习惯做法”

Specifically prohibited acts: 特别禁止的行为
 acts that create confusion with the establishment, goods, or industrial
or commercial activities of a competitor;
具有采用任何手段对竞争者的营业场所、商品或工商业活动产生混淆性质的一切行为；
 false allegations that discredit the establishment, goods, or industrial
or commercial activities of a competitor;
在经营商业中，具有损害竞争者营业所、商品或工商业活动的信用性质的虚伪说法；
 indications or allegations that can mislead the public as to the nature,
manufacturing process, characteristics, suitability for their purpose,
or quantity of the goods.
在经营商业中使用会使公众对商品的性质、制造方法、特点和用途或数量易于产生误解的
表示或说法
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The need for protection
保护的需要

Fair play in the market cannot be ensured only by
protection of IPR
单纯靠市场力量的自由竞争不可能实现公平竞争

Unfair acts usually not dealt with by specific laws on IP
(misleading advertising or violation of trade secrets)
不正当行为通常通常不是工业产权方面的抓们法律处理的（虚假广
告或侵犯商业秘密）

Unfair competition law necessary to:
反不正当竞争法是必要的：
 supplement IP laws 工业产权法的补充
 grant protection that no such law can provide
提供了法律所不能提供的保护
 ensure fairness in competition 确保竞争中的公平性
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Acts of Unfair Competition
不正当竞争行为

Acts contrary to "honest trade practices," "good faith"… (very wide)
违背“诚实交易惯例”，“善意”等行为（非常广泛）

Standards of “fairness" or "honesty" may differ from country to
country
“公平”或“诚实”的标准在国家与国家之间可能有所不同

Categories of Acts of Unfair Competition
不正当竞争行为的分类






Causing confusion 引起混淆
Misleading 误导
Discrediting Competitors 诋毁竞争者
Disclosure of secret information 披露秘密信息
Taking advantage of another’s achievements 利用他人成果的优势
Comparative advertising 比较性广告
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Causing confusion
引起混淆

Paris Convention prohibits all acts that create confusion with
the establishment, goods or industrial or commercial
activities of a competitor
《巴黎公约》禁止具有采用任何手段对竞争者的营业所、商品或工
商业活动产生混乱性质的一切行为

Two main areas in which confusion frequently occurs:
混淆经常发生在两个主要领域：
 indications of commercial origin (mark, sign, label, slogan)
商业原产地标志（商标、设计、标签、标语）
 appearance of goods and presentation of services
(packaging, shape or color of goods)
商品外观和服务的提供（包装、商品的形状或颜色）
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Misleading
误导

Creating a false impression of a competitor's products or
services
给竞争者的产品或服务造成一种虚假的印象

Most prevalent form of unfair competition
不正当竞争最惯常使用的方式

Misleading not restricted to:
误导不局限于：
 inherently false statements, or
自审虚假声明，或
 statements that lead consumers to false impression
实际已经给消费者造成虚假印象的声明

Sufficient that indications are likely to have a misleading
effect
只要问题的表示可能会产生误导的效果就可足以被认定为误导
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Discrediting Competitors
诋毁竞争者

Any false allegation concerning a competitor that is likely to
harm his commercial goodwill.
任何关于竞争者的可能会损害其商誉的虚假说法

Always involves a direct attack on a particular businessman
通常涉及对某一商家的直接攻击

May differ from country to country:
国家与国家之间有所区别：
 truthful remark about a competitor may be considered unfair
competition if the "attack" is out of proportion or needlessly
injurious.
一段关于竞争者的字面看来真实的讨论可能被看作不正当竞争，如果其
中的“进攻”成为占了绝大部分比例
 discrediting restricted to inaccurate or misleading statements.
诋毁的定义限制为不准确或者至少带有误导的言论
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Disclosure of secret information
秘密信息的披露

Secret information given to a competitor without
the permission of the owner
秘密信息在未得到信息拥有者允许的情况下被提供竞
争者

Affects commercial competitiveness
影响商业竞争性

TRIPS Agreement obliges WTO members to
provide protection for “undisclosed information”
TRIPS协议规定WTO成员国有义务对“未披露的信息”
提供保护
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Taking undue advantage of another’s achievements
不适当地利用他人的优势

Competition by imitation
通过模仿进行竞争

Unfair only under specific circumstances
特定环境下得不正当行为

Various types of “free riding”:
“搭便车”多种形式
 confusion or mislead
混淆或误导
 dilution of distinctive value and quality of competitor’s
mark
对竞争者的具有明显价值和质量的商标的淡化
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Comparative advertising
比较性广告

Two forms: 两种形式
 positive reference to another‘s product (own product is as good
as the other)
正面地提及他人产品（声称自己的产品和另一主的产品一样好）
 misappropriation of another's goodwill
不适当地使用他人商誉
 negative reference (own product is better than the other)
负面的提及（声称自己的产品比另一方的要好）
 Depreciation 诽谤

Both forms involve an unauthorized reference to a
competitor
两种形式都含有未经授权提及竞争者的情况

Differ from country to country
国家与国家之间有所不同
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Other acts of unfair competition
其它不正当竞争行为

Field of unfair competition is large and treatment by different
countries varies.
不正当竞争的领域十分广泛，不同的国家的做法也十分不同

Other acts: 其它行为
 Nuisance advertising
损害广告
 Use of sales promotion techniques (lotteries, gifts and bonuses)
使用商业促销手段（抽奖、礼品和奖励）
 regulated to avoid inducement to buy
受到规范以避免不适当的诱售
 Impeding of market activities (destruction of a competitor's
returnable soft drink bottles)
市场活动的阻止（毁坏竞争者的可回收的软饮料瓶子）
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Module 10
第十单元
Protection of New Varieties of
Plants
新植物品种保护
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Why protect new varieties of plants?
为什么要保护植物新品种

Incentive to development of improved plant varieties
for agriculture, horticulture and forestry
激励农业、园艺和林业改良植物品种的开发

Breeding new varieties of plants requires a substantial
investment
培育植物新品种需要大量投资
 opportunity of recovering
获得补偿的机会

Union Internationale pour la Protection des Obtentions
Végétales (UPOV)
植物新品种保护国际联盟（法语名称）
 Organization overseeing protection of new plant varieties
检查植物新品种保护的组织
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How can new plants be protected?
新的植物如何获得保护？

TRIPS allows 3 types of protection: TRIPS允许以三种方式进行保护
 Through patent mechanism
通过专利方式
 Through special system related to plants (“sui generis”)
通过与植物相关的某一特殊（专门的）制度
 Through combination of both
通过上述两者的结合

Patent law system can be difficult: 使用专利法制度保护困难
 do not satisfy non-obvious requirement
不满足关于非显而易见性的要求
 known objectives 已知目的
 known technology 已知技术

Most countries follow “sui generis” system
大部分国家愿意采用一种特殊（专门的）制度来保护植物品种
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Requirements (UPOV)

New (or novel) 新的（新颖性）
要求（UPOV）
 not exploited commercially
尚未进行过商业使用

Distinct (technical examination) 特异的（技术评估）
 variety shall be clearly distinguishable from any other variety
(biological description)
品种应明显区别于其他任何已知存在的品种（生物学描述）

Uniform (technical examination) 一致性（技术评估）
 plants of a variety should all be the same
某一品种的植物应该全部一样

Stable (technical examination) 稳定性（技术评估）
 characteristics remain unchanged after repeated propagation
反复返之后特点依旧保持不变

Have a satisfactory denomination (generic designation)
有一个适当的命名（品种通用名称）
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Rights of the holder
所有人的权利

Authorisation required for:
进行一下行为需要预先征得权利人的授权：
 Produce or reproduce (multiplying)
生产或繁殖（复制）
 Conditioning for the purpose of propagation
为繁殖目的进行的处理
 Sell or offer for sale
销售或提供销售
 Import and export
进口和出口
 Stock for any of the above purposes
为上述任一目的进行储存
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Exceptions
例外情况

Authorization not required for:
不需要事先征得授权的行为：
 Acts done privately and for non-commercial
purposes
私人行为，并且是为了非商业的目的
 Acts done for experimental purposes
为试验目的的行为
 Acts done for the purpose of breeding and exploiting
other varieties.
为培育和开发其它品种而进行的行为
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Term of Protection
保护期限

Minimum duration is:
最低保护期限是：
 25 years for trees and vines
树木和藤本植物为25年
 20 years for other plants
其它植物为20年

Right granted in each State where protection is sought
由寻求保护的每个国家授予权利

UPOV encourages members to recognize technical testing done
in other member States
UPOV鼓励成员国承认其他成员国所做的测技测试
 Simplifies 简化程序
 reduce cost 降低费用
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Module 11
第十一单元
Discussion and Summary
讨论和总结
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IP vs. Intellectual Capital
工业产权vs.智力资本

IP is based on laws that protect certain creations of the
mind (inventions, films, books, music)
IP建立在保护一定思维（发明、电影、书籍、音乐）创造的法
律基础上

Intellectual capital includes: 智力资本包括

 intellectual property 知识产权
 customer lists 消费者清单
 training methods 培训方式
 quality control methods 质量控制方式
 quality testing procedures 质量检测程序
IP must be used in order to become Intellectual Capital
IP必须用来变为智力资本
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Value of IP

Value of TM ≠ Price of TM
商标的价值≠商标的价格
 Value: how much somebody would pay for it
价值：某人要为其支付的多少
 Price: determined by the transaction itself
价格：由交易本身决定

Cases: 案例
 Velcro (not successful)
维可牢尼龙搭扣（不成功）
 Dolby Surround System
多尔贝环绕系统
 licensing to producers
生产者特许
 Pharmaceutical vs. Generics.
药物性vs.属类
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IP的价值
IP in developing countries
发展中国家的IP

Developing countries can benefit from IP systems in
the same way as industrialized countries.
发展中国家能和工业国家一样以相同的方式从IP制度中
获利

Problem: do not fully appreciate how to use IP
system to their own advantage
问题：没有重视如何根据自己的优势来使用IP
 not register patents = loose advantage
未注册专利=丧失优势

Example: "Pineapples from Ivory Coast,"
例子：“来自象牙海岸的菠萝”
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Receiving payments
接受的支付

Licensing: 特许
 process whereby something is allowed
许可某些的程序
 only owner of IPR can allow
只有IPR的拥有者可以许可
 license agreement specify the conditions of use
特许协议规定使用条件
 legal way of exploiting IPR
使用IPR的法律方式

Royalties: 使用金
 remuneration payable under license agreements
特许协议中规定的须支付的报酬
 Lump sum or regular payments based on production quantities
建立在产品质量基础上的总付或常规支付
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Innovation Centers
创新机构

Appeared in conjunction with university research or
government-funded research laboratories
与大学研究或者政府基金研究实验室相关联而出现

Function: bring new technology from the laboratory to
the market
职能：从实验室将新技术推广到市场

Similar to “business incubation centers”
类似于“商业孵化中心”
 test inventions in industrial applications
测试发明的工业运用
 bridge between R&D and manufacturing (IP and Intellectual
capital)
研发和制造之间的桥梁（IP和智力资本）
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A project in Research for Innovation

5th Round 2014 FINAL QUALIFYING TOURNAMENT

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