TRIPS协议项下可获得专利主题研究
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摘要
美国最高法院对于“比尔斯基案”的最新判决又一次在商业方法专利领域引起了波澜。可获得专利主题是专利法领域的最重要的范畴之一。美国为适应其经济发展和企业竞争的需要,不时地调整着商业方法可获得专利主题的标准.
金融创新拓展和延伸了可获得专利主题的范围,同时金融创新的风险也对可获得专利主题范围的法律规制带来了新的挑战,如何适当界定商业方法专利以及金融商业方法专利的范围成为当今知识产权界的重要议题之一。商业方法专利中金融商业方法专利的保护范围在当今金融创新的大背景下显得尤为重要。
笔者认为欧美等国家对于与商业方法有关的可获得专利主题范围的界定对我国与金融创新相关的专利领域而言有很大的启示,因而有必要梳理有关国际条约,各国立法及实践,并对我国专利法律法规相关制度的进一步完善提出建议。
本文共分为三章。第一章介绍了可获得专利的主题的国际国内法,包括主要国际条约和美欧的国内立法及实践,其中以美国的立法和判例为详述,尤其评析了美国最高法院关于“比尔斯基案”的最新判决。第二章主要探讨了金融领域与知识产权领域的交叉互动关系,包括金融创新和专利保护的关系,并从法理学、社会学、经济学的角度分析研究专利保护范围的平衡问题,并结合历史和现实考量专利保护范围的利益平衡问题。第三章着眼于我国商业方法专利保护的现行法律法规以及行业现状,尤其针对金融领域银行业的情况进行研究,结合金融监管法律法规的分析,以最近一次的专利法修改为背景对我国专利法律法规的完善提出了相关立法建议。
The latest judgment by the Supreme Court of United States on the Bilski case has a great impact in the field of business method patent. The patentable subject matter is one of the most important aspects in patent filed. United States has been changing its policy for the pateniable subject matter of business method in order to cater its national economic development and the need of domestic enterprises.
Financial innovation has extended the scope of the patentable subject matter of business method; while increasing the risk of financial innovations with challenges to the legal regulations on this matter. How to properly define the scope of business method patent, in particular, regarding financial patent, has become an essential topic in today's world. Financial patent, as a type of business method patent, is becoming more and more important in today's world with financial innovation as its background. The author thinks that the legislation and practice in United States and EU in this filed can enlighten the practice in China. Therefore it is necessary to study the international convention and the legislation and practice in different countries, so as to give some advice on the amendment of China's patent law based on the study.
This dissertation is composed of three chapters. Chapter one introduces the international and domestic laws on patentable subject matter, which include the major international conventions and domestic laws and practices in US and EU focusing on the analysis of the latest Bilski case in US. Chapter two discusses the relationship between financial filed and intellectual property right, especially the relationship between financial innovation and patent protection, and further explores the balancing issue of patent protection from aspects of jurisprudence, sociology and economics based on historical and realistic analysis. Finally, Chapter three focuses on the business method patent protection in China, analyzing the existing laws and industrial practice in banking filed and trying to make some comments on the further amendments of patent laws and regulations in China based on the 2008 amendment of China's patent law, together with the analysis of the financial regulation aspect in China.
金融创新拓展和延伸了可获得专利主题的范围,同时金融创新的风险也对可获得专利主题范围的法律规制带来了新的挑战,如何适当界定商业方法专利以及金融商业方法专利的范围成为当今知识产权界的重要议题之一。商业方法专利中金融商业方法专利的保护范围在当今金融创新的大背景下显得尤为重要。
笔者认为欧美等国家对于与商业方法有关的可获得专利主题范围的界定对我国与金融创新相关的专利领域而言有很大的启示,因而有必要梳理有关国际条约,各国立法及实践,并对我国专利法律法规相关制度的进一步完善提出建议。
本文共分为三章。第一章介绍了可获得专利的主题的国际国内法,包括主要国际条约和美欧的国内立法及实践,其中以美国的立法和判例为详述,尤其评析了美国最高法院关于“比尔斯基案”的最新判决。第二章主要探讨了金融领域与知识产权领域的交叉互动关系,包括金融创新和专利保护的关系,并从法理学、社会学、经济学的角度分析研究专利保护范围的平衡问题,并结合历史和现实考量专利保护范围的利益平衡问题。第三章着眼于我国商业方法专利保护的现行法律法规以及行业现状,尤其针对金融领域银行业的情况进行研究,结合金融监管法律法规的分析,以最近一次的专利法修改为背景对我国专利法律法规的完善提出了相关立法建议。
The latest judgment by the Supreme Court of United States on the Bilski case has a great impact in the field of business method patent. The patentable subject matter is one of the most important aspects in patent filed. United States has been changing its policy for the pateniable subject matter of business method in order to cater its national economic development and the need of domestic enterprises.
Financial innovation has extended the scope of the patentable subject matter of business method; while increasing the risk of financial innovations with challenges to the legal regulations on this matter. How to properly define the scope of business method patent, in particular, regarding financial patent, has become an essential topic in today's world. Financial patent, as a type of business method patent, is becoming more and more important in today's world with financial innovation as its background. The author thinks that the legislation and practice in United States and EU in this filed can enlighten the practice in China. Therefore it is necessary to study the international convention and the legislation and practice in different countries, so as to give some advice on the amendment of China's patent law based on the study.
This dissertation is composed of three chapters. Chapter one introduces the international and domestic laws on patentable subject matter, which include the major international conventions and domestic laws and practices in US and EU focusing on the analysis of the latest Bilski case in US. Chapter two discusses the relationship between financial filed and intellectual property right, especially the relationship between financial innovation and patent protection, and further explores the balancing issue of patent protection from aspects of jurisprudence, sociology and economics based on historical and realistic analysis. Finally, Chapter three focuses on the business method patent protection in China, analyzing the existing laws and industrial practice in banking filed and trying to make some comments on the further amendments of patent laws and regulations in China based on the 2008 amendment of China's patent law, together with the analysis of the financial regulation aspect in China.
引文
1张乃根著：《TRIPS协定：理论与实践》,上海人民出版社2000年版,第80页。
《TRIPS协议》第27条第1款表述到patents shall be available for any inventions, whether products or processes, in all fields of technology, provided that they are new, involve an inventive step and are capable of industrial application.''
Article 27(2)、(3):Members may exclude from patentability inventions, the prevention within their territory of the commercial exploitation of which is necessary to protect public or morality, including to protect human, animal or plant life or health or to avoid serious prejudice to the environment, provided that such exclusion is not made merely because the exploitation is prohibited by their law. Members may also exclude from patentability:(a)diagnostic, therapeutic and surgical methods for the treatment of humans or animals;(b)plants and animals other than micro-organisms, and essentially biological processes for the production of plants or animals other than non-biological and microbiological processes.
4参见《牛津现代高级英汉双解词典》,牛津大学出版社1995年版,第890页。
高旭.网络时代商业方法专利保护研究.硕士学位论文.对外经贸大学.2006年
6郭卫华、金朝武、王静著：《网络中的法律问题及其对策》,法律出版社2001年版,第122页
该注解为the terms "inventive step" and "capable of industrial application "may be deemed by a Member to be synonymous with the terms "non-obvious" and "useful" respectively.
刘德标,薛淑兰编：《世界贸易组织及多边贸易规则》,中国方正出版社2000年版,第269页。
See the explanation for Patent Cooperation Treaty at http://translate.google.com.hk/translate?hl=zh-CN&sl=en&tl=zh-CN&u=http%3A%2F%2Fen. wikipedia.org%2Fwiki%2FPatent Cooperation Treaty
10参阅WIPO官方网站http://www.wipo.int/pct/en/
11Markus Nolff, TRIPS, PCT and Global Patent Procurement, Kluwer Law International, 2001:50
See PCT APPLICANT'S GUIDE, Vol.1, note 279(20 Sept.2000), ("...certain International Searching Authorities do, in practice, search these [excluded]fields to varying extents-for example, several International Searching Authorities search subject matter is normally searched under national(or regional) procedure..."). According to PCT APPLICANTS GUIDE, Vol.1, note 390(ⅰ) (20 Sept.2000) in regard to examination of excluded subject matter, the "situation being the same as the one described in paragraph 279 in relation to the international research".
13PCT PRELIMINARY EXAMINATION GUIDELINES,Ⅳ-2.4(f), (Oct 1998)
14http://www.iprcommission.org/papers/text/Multi-Lingual_Documents/Multi_Lingual_Main_Re port_Text/DFID_Main_Report_Chinese_RR.ntm
15 See http://www.sipo.gov.cn/sipo2008/dtxx/gw/2005/200804/t20080401 352800.htm
16见WIPO专利委员会2001年11第六轮会议报告：http://www.wipo.int/meetings/en/details.jsp?meeting id=4302
17See http://www.020mx.com/gjnews/200610/1856.html
李顺德.金融产品商业方法专利保护[J].中国金融电脑,2003(10)：4
19张平.论商业方法软件专利保护的创造性标准[J].知识产权,2003(1)：26-27
20黄毅、尹龙.商业方法专利[M].北京：中国金融出版社,2004：53
参见USTPO官方网站http://www.uspto.gov/web/menu/busmethp/index.html
参见USTPO官方网站1http://www.uspto.gov/web/patents/classification/uspc705/defs705.htm
张平.回顾及分析—美日欧在商业方法软件上的专利保护之争.上海知识产权论坛论文集：37
24 See Chiapetta,http://www.mttlr.org/volseven/Chiappetta.pdf
张玉蓉著金融商业方法专利策略研究,知识产权出版社,2010年,第8页
26参见WIPO网站http://ecommerce.wipo.int/primer/index.html.
参见USPTO网站http://www.uspto.gov/web/offices/ac/ido/oeip/taf/def/705.htm
8参见USPTO网站(?)http://www.uspto.gov/web/offices/ac/ido/oeip/taf/def/705.ht
29Business Method Patent Improvement Act of 2000
30 黄毅、尹龙著：《商业方法专利》,中国金融出版社2004年版,第32页。
31 Pierre-Andre Dubois, Software and business methods patents in Europe, Kirkland & Ellis International LLP, London. See http://www.buildingipvalue.com/05_XB/064_067.htm
32 黄毅、尹龙著：《商业方法专利》,中国金融出版社2004年版,第32页。
33 张玉荣金融商业方法专利策略研究,知识产权出版社,2010年,第10页。
34 黄毅,尹龙.《商业方法专利》中国金融出版社,第33-42页。
35 Lerner, Josh,2002, Patent Protection and innovation over 150 year[R], NBER Working Paper, NO.8977.
36 黄毅尹龙：《金融业将面对—商业方法专利问题的挑战》,载《金融时报》2004年6月14日。
37 黄毅尹龙：《金融业将面对—商业方法专利问题的挑战》,载《金融时报》2004年6月14日。
38 吴璐璐,李良.从花旗银行的金融专利谈中资银行的金融专利现状与对策,重庆工商大学学报(社会科学版·双月刊)2004,8：3
39 See http://www.uspto.gov/web/offices/pac/mpep/documents/appxl 35 U SC 101.htm
40 这些案件主要有Gotschalk v.s Benson(409 U.S.63 1972),Parker v.s Flock(437 U.S.584 1978),Diamond v.s Diehr(450 U.S.185 1981),In Re Alappat(33 F.3d 1544 1994)
41 See Diamond v.Chakrabarty,447 US 303(1980)
42 See Gottschalk v. Benson.409 U.S.63 (1972)
43 See Parker v. Flook,437 U.S.584 (1978)
44 See Diamond v. Diehr,450 U.S.175 (1981),
45 State Street Bank and Trust Company v. Signature Financial Group, Inc.,149 F.3d 1368 (Fed. Cir.1998)
46 In re Bilski,545 F.3d 943,88 U.S.P.Q.2d 1385 (Fed. Cir.2008) and Bilski v. Kappos, No. 08-964,561 U.S. (2010),
47 李扬.知识产权的合理性、危机及其未来模式.法律出版社.2003年.第214页
48 郭林将,王君.《日本商业方法专利模式的借鉴》载于《吉林广播电视大学学报》2007年第6期(总第84期)
49 1952年美国专利法101节对可取得专利权的发明作了如下规定：“任何人发明新颖的和实用的工序、机器、产品,或者合成物,或者任何上述各项新颖和实用的改进,符合本法规定之条件与规定,均可以取得专利权。”
50 process也可以译为“过程”、“方法”,为了与"method"有所区别,这里使用了张乃根教授在美国专利法判例选析中的译法——“工序”。
51 张乃根：美国专利法判例选析,中国政法大学出版社,1995年6月,第49页。
52 张晓都：美国计算机程序的专利法保护,科技与法律,1996,4
53 这些案件主要有Gotschalk v.s Benson(409 U.S.63 1972),Parker v.s Flock(437 U.S.584 1978),Diamond v.s Diehr(450 U.S.1851981),In Re Alappat(33 F.3d 1544 1994)
54 See Gottschalk v. Benson,409 U.S.63 (1972)
160 F.467(2d Cir.1908)The Court considered the "genesis the business method exception."The court held that a patent on a "method of and means for cash-registering and account-checking" was invalid. In dicta, the court said,"[a]system of transacting business disconnected from the means for carrying out the system is not, within the most liberal interpretation of the term,[patentable subject matter.]
56 原文参见Hotel Security Checking Co.v.s.Lorraine/Co.,160 F.467(2d Cir.1908),visited in www.westlaw.com 2004.12.28
57 See AT&T v. EXCEL 172 F.3d 1352 (Fed. Cir.1999)
58 See http://www.ll.georgetown.edu/federal/judicial/fed/opinions/98opinions/98-1338.html
59 See Gottschalk v. Benson.409 U.S.63 (1972)
60 See Parker v. Flook,437 U.S.584 (1978)
61 See Diamond v. Diehr,450 U.S.175 (1981),
62麻萨诸塞州法院的判决可以参见State street Bank & Trust Co. v.s. Signature Financial Group,Inc,38 USPQ2d 1530(D..Mass,1996),927 F. Supp 50
63 450 U.S.175 "certain types of mathematical subject matter, standing alone, represent nothing more that abstract ideas";Alappat 33 EM 1544" the mathematical algorithm is unpatentable only to the extent that it represents an abstract idea:......
64 See http://www.uspto.gov/web/offices/pac/dapp/pdf/machex.pdf
63 See http://www.uspto.gov/patents/resources/methods/afmdpm/class705.jsp
See http://www.uspto.gov/patents/law/aipa/index.jsp
A White Paper-Automated Financial or Management Data Processing Methods (Business Methods),visited in www.uspto/web/menu/busmethp/index.htn 2008.12.24
68张乃根等编著美国专利法：判例与分析.上海交通大学出版社.2010年.第57页
69 MICHAL LIKHOVSKI. Fighting the Patent War[J].European Intellectual Property Review,2001(6):271.
70 See Bilski v. Kappos, No.08-964,561 U.S. (2010).
71 See Diamond v. Chakrabarty,447 U.S.303,308,100 S.Ct.2204,65 L.Ed.2
72 See Diamond v. Diehr,450 U.S.175,182,101 S.Ct.1048,67 L.Ed.2d 155.
73 See Diamond v. Diehr,450 U.S.175.182.101 S.Ct.1048,67 L.Ed.2d 155.
74参见Burgess v. United States,553 U.S.124,130,128 S.Ct.1572,170 L.Ed.2d 478.
75参见Parker v. Flook,437 U.S.584,588, n.9,98 S.Ct.2522,57 L.Ed.2d 451.
76参见Corley v. United States,556 U.S.129 S.Ct.1558,173 L.Ed.2d 443.
77参见State Street.149 F.3d. at 1373.
78 "nothing in today's opinion should be read as endorsing interpretations of §101 that the Court of Appeals for the Federal Circuit has used in the past. See, e.g., State Street,149 F.3d, at 1373; AT&T Corp.,172 F.3d, at 1357."
John Biernacki is a partner of Jones day and expert in intellectual property right.
See A bird eye view of the bilski oral argument. http://ipwatchdog.com/2009/11/10/a-birds-eye-view-of-the-bilski-oral-argument/id=7240/
European Patent Convention, art.53, at 70.
Patentability of Computer Programs,at 4
83 European Patent Convention, art.27, at 244.
84 Boards of Appeal of the European Patent Office Case No.T 0931/95-3.5.1 Decided 8 September 2000. http://www.european-patent-office.org/dg3/biblio/t950931eu1.htm。
参见EU官方网站http://www.european-patent-office.org/dg3/biblio/t950931eu1.htm。
86 T1173/97 of July 1998(OJ EPO 1999 609).http://swpat.ffii.org/vreji/papri/epot970935/indexen.html。
87该案的裁决认定：“一个计算机系统合适的程序被援用于一个特殊领域,即使该领域是商业或经济,有一个具体的设备具有物理实在性的这种特点,具有实用主义的目的。因此符合欧洲专利公约52条第一款的内涵。”为证明这个结论,裁决中还提出指向经济和商业的“系统,控制和方法”被排除在专利之外,具体的使用于经济活动的设备因为没有在52条第二款中提到因而不当然被排除。这些结论使人想起美国专利商标局1996年的《与计算机相关的发明审查指南》。同以前重视“实质”大于“形式”相比,决定更重视权利要求的形式。本质上讲,专利权利要求如果是与设备和产品有关即可自动具有技术性。
88 Michal Likhovski, "Fight the Patent Wars",2001 E.I.P.R.,Issue 6,P267.
89参见计算机软件国际保护网站上的评论：The "technical effects" doctrine was first promulgated by the European Patent Office("EPO").This doctrine generally holds that software is patentable if the application of the software has a"technical effect".Thus,for example,software that controls the timing of an electronic engine is patentable under this doctrine,whereas software that detects and corrects contextual homophone errors(e.g., "there" to "their")is not. http://www.sofrwareprotection.com
90张平主编：《网络法律评论》,法律出版社2002年版,第182页。
91 See Peter Hanna, "Availability of Software and Business Method Patent at the EPO", World E-commerce & IP Report, BNA 01/03.p.7.
92 See Matthew E.Fink, "Patenting Business Methods in Europe:What Lies Ahead?",Tustees of Indiana University law Journal, Winter 2004.21
93杨枝煌.中国金融知识产权科学发展战略.知识产权出版社.第134页
94 See http://www.epo.org/patents/law/legal-texts/html/epc/2000/e/contents.html
95 Seehttp://www.walkermorris.cn/pages/laws-guides/london-agreement-makes-european-pa protection-more-affordable.php
96夏志华,基于金融创新的金融专利研究,2004年硕士论文：4
97 Richard I. Miller, Legal Aspects of Technology Utilization, Harbridge House, Inc, D.C. Heath and Company 11 (1995)
98 Roger D. Blair Thomas F. Cotter, Intellectual Property, Economic and Legal Dimensions of Rights and Remedies,Cambridge University Press 111 (2005)
99 Christopher M. Arena, Eduardo M. Carreras, The Business of Intellectual Property, Oxford University Press 24 (2008)
100 Howard M. Friedman Security Regulation in Cyberspace Bowne & Co. Inc,1-1 (1997)
101参阅官方网站数据http://www.uspto.gov/patents/resources/methods/index.jsp
102 Jay Dratler, Jr. and Stephen McJohn, Cyberlaw Intellectual Property in the Digital Millennium (2000) Law Journal Express
103 Richard Scott Draughon MyTechnologyLawyer. Com, Legal Handbook, Legal Questions Commonly Asked by Technology Buyers and Sellers, Attorney at Law (2006)
104 MICHAL LIKHOVSKI. Fighting the Pantent War[J].European Intellectual Property Review,2001(6):271.
105梁津娣,李斌卫,马欢,黄建成,汤海珠.金融危机对专利申请量的影响探析.知识产权2010.3.
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113科斯定理的定义可参阅《新帕尔格雷夫经济学辞典》。
Ward S. Bowman, Jr., Patent and Antitrust Law:Legal and Economic Appraisal 15-32 (1973)
F.M. Scherer, Industrial Market Structure and Economic Performance 379-399 (1970)
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119《建立WTO协定》英文文本间WTO官方网页(www.wto.org)。法律文本中译文本可参阅《世界贸易组织乌拉圭会和多边贸易谈判结果法律文本》
120张乃根《TRIPS协议：理论与实践》上海人民出版社第249页
121刘孔中,宿希成,寿步.软件相关发明专利保护[M].北京：知识产权出版社
122蒋志培主编：《网络与电子商务法(修订本)》,法律出版社,2002年,第103页
123见2008年《中华人民共和国专利法》第5条。
124见2008年《中华人民共和国专利法》第25条。
125见中国专利局2010年《专利审查指南》第二部分第一章“不授予专利权的申请”,自：http://www.sipo.gov.cn/sipo/zlsc/sczn/sqzn2/200110250024.htm
126同注59
127见中国国家知识产权局网站http://www.sipo.gov.cn/sipo2008/zlsqzn/sczn2010.pdf
128蒋志培主编：《网络与电子商务法(修订本)》,法律版社,2002年,第107-108、页
129见中国专利局2010年《专利审查指南》第二部分第一章“不授予专利权的申请”
130见中国银监会《电子银行业务管理办法》第二条
131见中国银监会《电子银行业务管理办法》第七条
132见中国银监会《电子银行业务管理办法》第十二条
133见中国银监会《电子银行业务管理办法》第二十二条
134见中国银监会《电子银行业务管理办法》第三十五条
135见中国银监会《电子银行业务管理办法》第五十三条
136见中国银监会《电子银行业务管理办法》第三十一条
137黄嵘：“中资银行‘贴牌’代销外汇理财外资称霸”,载《中国经营报》,2006-6-26(A20)版。
138汤宗舜.关于禁止重复授予专利权问题的探讨”[J].知识产权,2003,6：3
139参见2008年《专利法》第22条第1款、第23第1款。
140刘颖丽编译Amazon首席执行官Bezos (?)呼吁专利法改革Visited in www.icrb.com.cn/ibhL/2000/03/14/99920000314001.htm
141张平：论商业方法软件专利保护的创造性标准,知识产权,2003,1：3
142见中国银监会官方网站http://www.cbrc.gov.cn/chinese/info/yjhjj/index.jsp
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《TRIPS协议》第27条第1款表述到patents shall be available for any inventions, whether products or processes, in all fields of technology, provided that they are new, involve an inventive step and are capable of industrial application.''
Article 27(2)、(3):Members may exclude from patentability inventions, the prevention within their territory of the commercial exploitation of which is necessary to protect public or morality, including to protect human, animal or plant life or health or to avoid serious prejudice to the environment, provided that such exclusion is not made merely because the exploitation is prohibited by their law. Members may also exclude from patentability:(a)diagnostic, therapeutic and surgical methods for the treatment of humans or animals;(b)plants and animals other than micro-organisms, and essentially biological processes for the production of plants or animals other than non-biological and microbiological processes.
4参见《牛津现代高级英汉双解词典》,牛津大学出版社1995年版,第890页。
高旭.网络时代商业方法专利保护研究.硕士学位论文.对外经贸大学.2006年
6郭卫华、金朝武、王静著：《网络中的法律问题及其对策》,法律出版社2001年版,第122页
该注解为the terms "inventive step" and "capable of industrial application "may be deemed by a Member to be synonymous with the terms "non-obvious" and "useful" respectively.
刘德标,薛淑兰编：《世界贸易组织及多边贸易规则》,中国方正出版社2000年版,第269页。
See the explanation for Patent Cooperation Treaty at http://translate.google.com.hk/translate?hl=zh-CN&sl=en&tl=zh-CN&u=http%3A%2F%2Fen. wikipedia.org%2Fwiki%2FPatent Cooperation Treaty
10参阅WIPO官方网站http://www.wipo.int/pct/en/
11Markus Nolff, TRIPS, PCT and Global Patent Procurement, Kluwer Law International, 2001:50
See PCT APPLICANT'S GUIDE, Vol.1, note 279(20 Sept.2000), ("...certain International Searching Authorities do, in practice, search these [excluded]fields to varying extents-for example, several International Searching Authorities search subject matter is normally searched under national(or regional) procedure..."). According to PCT APPLICANTS GUIDE, Vol.1, note 390(ⅰ) (20 Sept.2000) in regard to examination of excluded subject matter, the "situation being the same as the one described in paragraph 279 in relation to the international research".
13PCT PRELIMINARY EXAMINATION GUIDELINES,Ⅳ-2.4(f), (Oct 1998)
14http://www.iprcommission.org/papers/text/Multi-Lingual_Documents/Multi_Lingual_Main_Re port_Text/DFID_Main_Report_Chinese_RR.ntm
15 See http://www.sipo.gov.cn/sipo2008/dtxx/gw/2005/200804/t20080401 352800.htm
16见WIPO专利委员会2001年11第六轮会议报告：http://www.wipo.int/meetings/en/details.jsp?meeting id=4302
17See http://www.020mx.com/gjnews/200610/1856.html
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19张平.论商业方法软件专利保护的创造性标准[J].知识产权,2003(1)：26-27
20黄毅、尹龙.商业方法专利[M].北京：中国金融出版社,2004：53
参见USTPO官方网站http://www.uspto.gov/web/menu/busmethp/index.html
参见USTPO官方网站1http://www.uspto.gov/web/patents/classification/uspc705/defs705.htm
张平.回顾及分析—美日欧在商业方法软件上的专利保护之争.上海知识产权论坛论文集：37
24 See Chiapetta,http://www.mttlr.org/volseven/Chiappetta.pdf
张玉蓉著金融商业方法专利策略研究,知识产权出版社,2010年,第8页
26参见WIPO网站http://ecommerce.wipo.int/primer/index.html.
参见USPTO网站http://www.uspto.gov/web/offices/ac/ido/oeip/taf/def/705.htm
8参见USPTO网站(?)http://www.uspto.gov/web/offices/ac/ido/oeip/taf/def/705.ht
29Business Method Patent Improvement Act of 2000
30 黄毅、尹龙著：《商业方法专利》,中国金融出版社2004年版,第32页。
31 Pierre-Andre Dubois, Software and business methods patents in Europe, Kirkland & Ellis International LLP, London. See http://www.buildingipvalue.com/05_XB/064_067.htm
32 黄毅、尹龙著：《商业方法专利》,中国金融出版社2004年版,第32页。
33 张玉荣金融商业方法专利策略研究,知识产权出版社,2010年,第10页。
34 黄毅,尹龙.《商业方法专利》中国金融出版社,第33-42页。
35 Lerner, Josh,2002, Patent Protection and innovation over 150 year[R], NBER Working Paper, NO.8977.
36 黄毅尹龙：《金融业将面对—商业方法专利问题的挑战》,载《金融时报》2004年6月14日。
37 黄毅尹龙：《金融业将面对—商业方法专利问题的挑战》,载《金融时报》2004年6月14日。
38 吴璐璐,李良.从花旗银行的金融专利谈中资银行的金融专利现状与对策,重庆工商大学学报(社会科学版·双月刊)2004,8：3
39 See http://www.uspto.gov/web/offices/pac/mpep/documents/appxl 35 U SC 101.htm
40 这些案件主要有Gotschalk v.s Benson(409 U.S.63 1972),Parker v.s Flock(437 U.S.584 1978),Diamond v.s Diehr(450 U.S.185 1981),In Re Alappat(33 F.3d 1544 1994)
41 See Diamond v.Chakrabarty,447 US 303(1980)
42 See Gottschalk v. Benson.409 U.S.63 (1972)
43 See Parker v. Flook,437 U.S.584 (1978)
44 See Diamond v. Diehr,450 U.S.175 (1981),
45 State Street Bank and Trust Company v. Signature Financial Group, Inc.,149 F.3d 1368 (Fed. Cir.1998)
46 In re Bilski,545 F.3d 943,88 U.S.P.Q.2d 1385 (Fed. Cir.2008) and Bilski v. Kappos, No. 08-964,561 U.S. (2010),
47 李扬.知识产权的合理性、危机及其未来模式.法律出版社.2003年.第214页
48 郭林将,王君.《日本商业方法专利模式的借鉴》载于《吉林广播电视大学学报》2007年第6期(总第84期)
49 1952年美国专利法101节对可取得专利权的发明作了如下规定：“任何人发明新颖的和实用的工序、机器、产品,或者合成物,或者任何上述各项新颖和实用的改进,符合本法规定之条件与规定,均可以取得专利权。”
50 process也可以译为“过程”、“方法”,为了与"method"有所区别,这里使用了张乃根教授在美国专利法判例选析中的译法——“工序”。
51 张乃根：美国专利法判例选析,中国政法大学出版社,1995年6月,第49页。
52 张晓都：美国计算机程序的专利法保护,科技与法律,1996,4
53 这些案件主要有Gotschalk v.s Benson(409 U.S.63 1972),Parker v.s Flock(437 U.S.584 1978),Diamond v.s Diehr(450 U.S.1851981),In Re Alappat(33 F.3d 1544 1994)
54 See Gottschalk v. Benson,409 U.S.63 (1972)
160 F.467(2d Cir.1908)The Court considered the "genesis the business method exception."The court held that a patent on a "method of and means for cash-registering and account-checking" was invalid. In dicta, the court said,"[a]system of transacting business disconnected from the means for carrying out the system is not, within the most liberal interpretation of the term,[patentable subject matter.]
56 原文参见Hotel Security Checking Co.v.s.Lorraine/Co.,160 F.467(2d Cir.1908),visited in www.westlaw.com 2004.12.28
57 See AT&T v. EXCEL 172 F.3d 1352 (Fed. Cir.1999)
58 See http://www.ll.georgetown.edu/federal/judicial/fed/opinions/98opinions/98-1338.html
59 See Gottschalk v. Benson.409 U.S.63 (1972)
60 See Parker v. Flook,437 U.S.584 (1978)
61 See Diamond v. Diehr,450 U.S.175 (1981),
62麻萨诸塞州法院的判决可以参见State street Bank & Trust Co. v.s. Signature Financial Group,Inc,38 USPQ2d 1530(D..Mass,1996),927 F. Supp 50
63 450 U.S.175 "certain types of mathematical subject matter, standing alone, represent nothing more that abstract ideas";Alappat 33 EM 1544" the mathematical algorithm is unpatentable only to the extent that it represents an abstract idea:......
64 See http://www.uspto.gov/web/offices/pac/dapp/pdf/machex.pdf
63 See http://www.uspto.gov/patents/resources/methods/afmdpm/class705.jsp
See http://www.uspto.gov/patents/law/aipa/index.jsp
A White Paper-Automated Financial or Management Data Processing Methods (Business Methods),visited in www.uspto/web/menu/busmethp/index.htn 2008.12.24
68张乃根等编著美国专利法：判例与分析.上海交通大学出版社.2010年.第57页
69 MICHAL LIKHOVSKI. Fighting the Patent War[J].European Intellectual Property Review,2001(6):271.
70 See Bilski v. Kappos, No.08-964,561 U.S. (2010).
71 See Diamond v. Chakrabarty,447 U.S.303,308,100 S.Ct.2204,65 L.Ed.2
72 See Diamond v. Diehr,450 U.S.175,182,101 S.Ct.1048,67 L.Ed.2d 155.
73 See Diamond v. Diehr,450 U.S.175.182.101 S.Ct.1048,67 L.Ed.2d 155.
74参见Burgess v. United States,553 U.S.124,130,128 S.Ct.1572,170 L.Ed.2d 478.
75参见Parker v. Flook,437 U.S.584,588, n.9,98 S.Ct.2522,57 L.Ed.2d 451.
76参见Corley v. United States,556 U.S.129 S.Ct.1558,173 L.Ed.2d 443.
77参见State Street.149 F.3d. at 1373.
78 "nothing in today's opinion should be read as endorsing interpretations of §101 that the Court of Appeals for the Federal Circuit has used in the past. See, e.g., State Street,149 F.3d, at 1373; AT&T Corp.,172 F.3d, at 1357."
John Biernacki is a partner of Jones day and expert in intellectual property right.
See A bird eye view of the bilski oral argument. http://ipwatchdog.com/2009/11/10/a-birds-eye-view-of-the-bilski-oral-argument/id=7240/
European Patent Convention, art.53, at 70.
Patentability of Computer Programs,at 4
83 European Patent Convention, art.27, at 244.
84 Boards of Appeal of the European Patent Office Case No.T 0931/95-3.5.1 Decided 8 September 2000. http://www.european-patent-office.org/dg3/biblio/t950931eu1.htm。
参见EU官方网站http://www.european-patent-office.org/dg3/biblio/t950931eu1.htm。
86 T1173/97 of July 1998(OJ EPO 1999 609).http://swpat.ffii.org/vreji/papri/epot970935/indexen.html。
87该案的裁决认定：“一个计算机系统合适的程序被援用于一个特殊领域,即使该领域是商业或经济,有一个具体的设备具有物理实在性的这种特点,具有实用主义的目的。因此符合欧洲专利公约52条第一款的内涵。”为证明这个结论,裁决中还提出指向经济和商业的“系统,控制和方法”被排除在专利之外,具体的使用于经济活动的设备因为没有在52条第二款中提到因而不当然被排除。这些结论使人想起美国专利商标局1996年的《与计算机相关的发明审查指南》。同以前重视“实质”大于“形式”相比,决定更重视权利要求的形式。本质上讲,专利权利要求如果是与设备和产品有关即可自动具有技术性。
88 Michal Likhovski, "Fight the Patent Wars",2001 E.I.P.R.,Issue 6,P267.
89参见计算机软件国际保护网站上的评论：The "technical effects" doctrine was first promulgated by the European Patent Office("EPO").This doctrine generally holds that software is patentable if the application of the software has a"technical effect".Thus,for example,software that controls the timing of an electronic engine is patentable under this doctrine,whereas software that detects and corrects contextual homophone errors(e.g., "there" to "their")is not. http://www.sofrwareprotection.com
90张平主编：《网络法律评论》,法律出版社2002年版,第182页。
91 See Peter Hanna, "Availability of Software and Business Method Patent at the EPO", World E-commerce & IP Report, BNA 01/03.p.7.
92 See Matthew E.Fink, "Patenting Business Methods in Europe:What Lies Ahead?",Tustees of Indiana University law Journal, Winter 2004.21
93杨枝煌.中国金融知识产权科学发展战略.知识产权出版社.第134页
94 See http://www.epo.org/patents/law/legal-texts/html/epc/2000/e/contents.html
95 Seehttp://www.walkermorris.cn/pages/laws-guides/london-agreement-makes-european-pa protection-more-affordable.php
96夏志华,基于金融创新的金融专利研究,2004年硕士论文：4
97 Richard I. Miller, Legal Aspects of Technology Utilization, Harbridge House, Inc, D.C. Heath and Company 11 (1995)
98 Roger D. Blair Thomas F. Cotter, Intellectual Property, Economic and Legal Dimensions of Rights and Remedies,Cambridge University Press 111 (2005)
99 Christopher M. Arena, Eduardo M. Carreras, The Business of Intellectual Property, Oxford University Press 24 (2008)
100 Howard M. Friedman Security Regulation in Cyberspace Bowne & Co. Inc,1-1 (1997)
101参阅官方网站数据http://www.uspto.gov/patents/resources/methods/index.jsp
102 Jay Dratler, Jr. and Stephen McJohn, Cyberlaw Intellectual Property in the Digital Millennium (2000) Law Journal Express
103 Richard Scott Draughon MyTechnologyLawyer. Com, Legal Handbook, Legal Questions Commonly Asked by Technology Buyers and Sellers, Attorney at Law (2006)
104 MICHAL LIKHOVSKI. Fighting the Pantent War[J].European Intellectual Property Review,2001(6):271.
105梁津娣,李斌卫,马欢,黄建成,汤海珠.金融危机对专利申请量的影响探析.知识产权2010.3.
106魏衍亮.金融危机背后的专利秘密.中国专利与发明2009.5
107 Janis M. Mueller, Patent Law, Third Edition, Wolters Kluwers (law & business) 28 (2009)
108 Bernard A. Galler, Software and Intellectual Property Protection, Copyright and Patent Issues for Computer and Legal Professionals 55 (1991)
109 Russell L. Parr, Gordon V. Smith, Intellectual Property, Valuation, Exploitation, and Infringement Damages,2010 Cumulative Supplement, John Wiley & Sons, Inc
110Janis M. Mueller, Patent Law, Third Edition, Wolters Kluwers (law & business) 23-24 (2009)
The Digital Dilemma Intellectual Property in the information age, Committee on Intellectual Property Rights and the Emerging Information Infrastructure, Computer Science and Telecommunications Board Commission on Physical Sciences, Mathematics, and Applications National Research Council, National Academy Press Washington, D.C.45 (2000)
112 Kenneth Nichols Investing Software The Rise of "Computer-Related" Patents QUORUM BOOKS Westport, Connecticut. London 103 (1998)
113科斯定理的定义可参阅《新帕尔格雷夫经济学辞典》。
Ward S. Bowman, Jr., Patent and Antitrust Law:Legal and Economic Appraisal 15-32 (1973)
F.M. Scherer, Industrial Market Structure and Economic Performance 379-399 (1970)
116 Janis M. Mueller, Patent Law, Third Edition, Wolters Kluwers (law & business) 24 (2009)
117 Paul E. Schaafsma, An Economic Overview of Patents,79 J. PAT.& TRADEMARK OFF. SOC'Y 241 (1997)
118 Adam D. Moore, Intellectual Property & Information Control, Philosophic Foundations and Contemporary Issues, Transaction Publishers, New Brunswick (U.S.A.) and London (U.K.)16 (2001)
119《建立WTO协定》英文文本间WTO官方网页(www.wto.org)。法律文本中译文本可参阅《世界贸易组织乌拉圭会和多边贸易谈判结果法律文本》
120张乃根《TRIPS协议：理论与实践》上海人民出版社第249页
121刘孔中,宿希成,寿步.软件相关发明专利保护[M].北京：知识产权出版社
122蒋志培主编：《网络与电子商务法(修订本)》,法律出版社,2002年,第103页
123见2008年《中华人民共和国专利法》第5条。
124见2008年《中华人民共和国专利法》第25条。
125见中国专利局2010年《专利审查指南》第二部分第一章“不授予专利权的申请”,自：http://www.sipo.gov.cn/sipo/zlsc/sczn/sqzn
126同注59
127见中国国家知识产权局网站http://www.sipo.gov.cn/sipo2008/zlsqzn/sczn2010.pdf
128蒋志培主编：《网络与电子商务法(修订本)》,法律版社,2002年,第107-108、页
129见中国专利局2010年《专利审查指南》第二部分第一章“不授予专利权的申请”
130见中国银监会《电子银行业务管理办法》第二条
131见中国银监会《电子银行业务管理办法》第七条
132见中国银监会《电子银行业务管理办法》第十二条
133见中国银监会《电子银行业务管理办法》第二十二条
134见中国银监会《电子银行业务管理办法》第三十五条
135见中国银监会《电子银行业务管理办法》第五十三条
136见中国银监会《电子银行业务管理办法》第三十一条
137黄嵘：“中资银行‘贴牌’代销外汇理财外资称霸”,载《中国经营报》,2006-6-26(A20)版。
138汤宗舜.关于禁止重复授予专利权问题的探讨”[J].知识产权,2003,6：3
139参见2008年《专利法》第22条第1款、第23第1款。
140刘颖丽编译Amazon首席执行官Bezos (?)呼吁专利法改革Visited in www.icrb.com.cn/ibhL/2000/03/14/99920000314001.htm
141张平：论商业方法软件专利保护的创造性标准,知识产权,2003,1：3
142见中国银监会官方网站http://www.cbrc.gov.cn/chinese/info/yjhjj/index.jsp
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