【北邮国院大三下】Intellectual Property Law 知识产权基础 Week3

北邮国院大三电商在读，随课程进行整理知识点。仅整理PPT和相关法条中相对重要的知识点，个人认为相对不重要的细小的知识点不列在其中。如有错误请指出。转载请注明出处，祝您学习愉快。

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本Week的主题是software的各种IP Law

先说Copyright

Copyright of software核心法律

PRC Regulations for the Protection of Computer Software 2001 (PRC CSR)

literal expression和non-literal expression

• Words – literal expression.
• Plot, style of writing, structure – non-literal expression

代码属于literal expression

Copyright Law protects original, creative expression but not ideas

版权法保护的是原创的、创造性的表达，而不是思想

• literal expression被保护，non-literal expression不被保护（除非是original的）

怎么判断work是不是被copy了？

When a copyright work is ‘copied’, proof to be given of

• Defendant had access to the work 被告可以接触到作品
• Substantial similarity between work copied/copied work – of original expression 复制作品/被复制作品之间的实质相似性-原始表达

相关法条

Art.4

To enjoy protection, software must be ‘independently created’ by the ‘creator’ and be fixed in a ‘tangible medium’

要享受保护，软件必须由“创作者”“独立创作”，并固定在“有形媒介”中。

Independent creation = ‘original’ = originate from author = not be copied = author’s own intellectual creation

这个就是之前的内容了，核心就是original

Art.5

Chinese citizens, legal entities or other organizations enjoy, in accordance with these Regulations, copyright in the software** which they have developed, whether published or not**

中国公民、法人或者其他组织对其开发的软件，不论是否发表，依照本条例的规定享有著作权

Art.6 - Not protected

The protection of software copyright under these Regulations shall not extend to the ideas, processing, operating methods, mathematical concepts or the like used in software development

本条例对软件著作权的保护不适用于软件开发中使用的思想、处理、操作方法、数学概念等

Not protected by copyright law/ CSR

• The functionality of a computer program 计算机程序的功能
• The manner in which a machine behaves under the control of a program 机器在程序控制下的运行方式

【但不是绝对的，if new and innovative and a ‘technical solution’，会被patent law保护】

Art.29 - Idea-expression ‘merger’ rule - Also not protected

Also unprotectable – any ‘expression’ in a computer program which is a limited way to implement a function

The development of a piece of software which is similar to a pre-existing one due to a limit of alternative forms of expression does not constitute an infringement of the copyright in the pre-existing one

第二十九条 软件开发者开发的软件，由于可供选用的表达方式有限而与已经存在的软件相似的,不构成对已经存在的软件的著作权的侵犯。

为什么叫做“Idea-expression ‘merger’ rule”（思想表达“合并”规则）呢？

• 因为表达方式受限，这个idea只能用这个expression表达，这种情况不被保护，就是idea and expression ‘merge’

Art.17 - study the software

Article 17 A piece of software may be used by its installing, displaying, transmitting or storing for the purposes of studying or researching the design ideas or principles embodied therein, without permission from, and without payment of remuneration to, the software copyright owner.

第十七条 为了学习和研究软件内含的设计思想和原理,通过安装、显示、传输或者存储软件等方式使用软件的,可以不经软件著作权人许可,不向其支付报酬。

CSR designed to protect software created by its developer/s while encouraging competitors to develop competing software

CSR旨在保护其开发者创建的软件，同时鼓励竞争对手开发竞争软件

Other

In all other ways, software enjoys the same rights as any other copyright work

在所有其他方面，软件享有与任何其他版权作品相同的权利

Art.8

So what is protected?

• CODE – source code & object code – ‘literal elements’ CODE - 源代码和目标代码 - 文字元素
• Other ‘non-literal’ elements as are not ‘functional’ but form original ‘expression’ – when there is more than one way to express the function (i.e no idea-expression merger) 其他“非文字”元素不具有“功能”，但形成了原始的“表达”——当有不止一种表达功能的方式时(即没有思想-表达合并)

analysis for substantial similarity - Altai Test

一共三步：

• 

In adopting the above three step analysis for substantial similarity between the non-literal elements of computer programs, we seek to insure two things:

在采用上述三步分析法分析计算机程序的非文字元素之间的实质性相似性时，我们试图确保两件事:

(1) that programmers may receive appropriate copyright protection for innovative utilitarian works containing expression; and 程序员对包含表达的创新功利性作品可以得到适当的版权保护;和

(2) that non-protectable technical expression remains in the public domain for others to use freely as building blocks in their own work 这种不受保护的技术表达仍然处于公共领域，供其他人在自己的作品中自由使用

一图流总结CSR对computer program的保护与否

接下来是patent

软件被IP保护的强度：copyright < trademark <patent

Patents are granted to inventions

• Software itself cannot be patented 软件本身不能申请专利
• Software implemented inventions can be patented(SII or CII) 软件实施的发明可以申请专利

What cannot be patented (Art.25)

China: Article 25 PRC PL

• Scientific discoveries 科学发现
• Rules and methods for mental activities 心理活动的规则和方法
• Methods for the diagnosis and treatment of diseases 疾病的诊断和治疗方法
• Animal and plant varieties 动物和植物品种
• Substances obtained by means of nuclear transformation 核转化物质通过核转化获得的物质

【这里的Rules and methods for mental activities，在查到的资料中是intellectual activities（详情可见W1相关部分），意思差不多，但此处还是以PPT为准】.

什么是“mental activities”

If (software) claimmerely relates to an algorithm, or mathematical computing rules, computer programs per se, computer programs per se recorded in media, rules or methods for games

如果(软件)权利要求仅涉及算法或数学计算规则、计算机程序本身、记录在媒体中的计算机程序本身、游戏规则或方法

（per se：本身）

特殊情况（technical features）

However, if software claim includes ‘technical features’ – patentable subject matter requirement is met

但是，如果软件权利要求包括“技术特征”，则满足可专利主题的要求

相关法律（不知道第几条）

• If all the contents of a claim includenot only rules and methods for mental activities but also technical features, for example, the contents defining the above mentioned devicesfor computer games include rules for games and technical features aswell, then the claim as a whole is not rules and methods for mental activities, and shall not be excluded from patentability in accordance with Article 25. 如果权利要求的全部内容不仅包括智力活动的规则和方法，而且还包括技术特征，例如，上述计算机游戏装置的内容既包括游戏规则，也包括技术特征，那么该权利要求作为一个整体就不属于智力活动的规则和方法，不应当依照第二十五条的规定排除其可专利性。

technical solution

根据Art.2

“Invention” in the Patent Law means any new** technical solution **relating to a product, a process or improvement thereof

专利法所称发明，是指与产品、工艺或者其改进有关的新的技术方案

那么这个technical solution的定义又是什么呢？

• A technical solution is an aggregation of technical means applying the laws of nature to solve a technical problem. Usually, technical means are embodied as technical features. A solution which does not adopt technical means to solve a technical problem and thereby does not achieve any technical effect in compliance with the laws of nature does not constitute a [technical solution]… 技术解决方案是应用自然规律解决技术问题的技术手段的集合。技术手段通常体现为技术特征。不采用技术手段解决技术问题，因而未取得符合自然规律的技术效果的解决方案不构成[技术解决方案]……

An invention application relating to computer programs is the subject matter of patent protection only if it constitutes a technical solution.

涉及计算机程序的发明申请，只有在构成技术方案的情况下，才属于专利保护的客体。

3 step test for technical solution determination

1. Whether the claimed subject matter involves execution of computer programs in order to solve a technical problem; 要求保护的客体是否涉及为解决技术问题而执行计算机程序;
2. Whether the computer programs are executed by a computer so as to control or process internal or external objects of the computer in accordance with the laws of nature; 计算机程序是否由计算机执行，以便按照自然规律控制或者处理计算机内部或者外部的对象;
3. Whether any technical effect is achieved in accordance with the laws of nature by execution of the computer programs. 执行计算机程序是否按照自然规律取得技术效果。

举几个patentable SII/CII 的例子

• To control industrial process: 控制工业过程:
  • e.g., A method for controlling a die forming process of rubber. 例如，一种控制橡胶模成型过程的方法。
• To improve internal performanceof computer-related product: 提高计算机相关产品的内部性能;
  • e.g., A method for expanding the storage capacity of movable computer device. 例如，一种扩展可移动计算机设备存储容量的方法。
• To measure or test: 测量或测试:
  • e.g., A method for measuring liquid viscosity by computer program. 一种用计算机程序测量液体粘度的方法。
• To process external data: 处理外部数据:
  • e.g., A method for removing image noise. 例如，一种去除图像噪声的方法。

另一个not patentable的种类 - Business method - due to Art.2, 25

“methods and systems for management in respect of organization, manufacture, business implementation and economy etc.”

组织、生产、业务实施、经济等方面的管理方法和制度。

• Pure business methods – ‘a mental activity’ – not patentable 纯粹的商业方法——“一种精神活动”——不能申请专利
• BM’s implemented by computer programs – ‘mixed inventions’ 计算机程序实现的BM——“混合发明”

举个很简单的例子：

• Tencent – method for collaborative order 腾讯——协同订货法
  • a trading process including sending an collaborative order invitation to selected relational users of a subscriber, and combining order information sent by the subscriber and sub-order information returned by the relational users so that a trading platform can process combined order information 一种交易过程，包括向选定的订阅者的关系用户发送协作订单邀请，并将订阅者发送的订单信息与关系用户返回的子订单信息相结合，从而使交易平台能够处理组合的订单信息

"If a claim related to a business model involves not only content of business rules and methods but also a technical feature, it shall not be excluded from the possibility of being granted a patent right according to Article 25 of the patent law.”

与商业模式有关的权利要求不仅涉及商业规则和方法的内容，而且涉及技术特征的，不排除依照专利法第二十五条的规定授予专利权的可能性。

（BM + technical feature = Invention）

if a claim has a technical feature, even if it also contains some nontechnical features, the technical solution as a whole should be deemed as patent eligible

如果权利要求具有技术特征，即使它还包含一些非技术特征，该技术方案作为一个整体也应被视为具有专利资格

但是想要成为Invention还是得具有普适条件 (Art.22)

‘Invention-creations’ must be

• New (novelty) 新颖
  • Novelty is established if not all features of a claim are known from a single item of prior art 如果一项权利要求的所有特征不能从一项现有技术中已知，则确立新颖性
• Inventive 可成为专利的
  • Inventiveness - requires a non-obvious technical solution to a technical problem 创造性——对技术问题需要一个不明显的技术解决方案
• Have practical applicability 具有实际适用性

‘Mixed’ inventions

Software based inventions often involve a mixture of technical features (eg, a computer) and non-technical features (e.g., a business method/ mathematical method, presentations of information

基于软件的发明通常涉及技术特征(例如，计算机)和非技术特征(例如，商业方法/数学方法，信息表示)的混合

EPO规定的inventiveness of mixed inventions

Whether any non-technical features contribute, in the context of the invention, to producing a technical effect serving a technical purpose, thereby contributing to the technical character of the invention.

在本发明范围内，任何非技术特征是否有助于产生服务于技术目的的技术效果，从而有助于本发明的技术特征。

2020年出台的Guidelines如何规定mixed invention (inventiveness) - have examples

• artificial intelligence (‘AI’) ,‘Internet +’ technologies, big data, and blockchain - not patentable, IF do not claim technical features - 全都是“mental activities”

Not patentable

• a method for establishing a mathematical model based on an abstract algorithm and not containing any technical features 一种基于抽象算法而不包含任何技术特征的数学模型的建立方法
• a method of rebate based on the user’s consumption amount, the features contained in the method are all business rules and method features related to the rebate rule, and do not contain any technical features, 一种基于用户消费金额的返利方法，该方法所包含的特征均为与返利规则相关的业务规则和方法特征，不包含任何技术特征

Patentable

• However,If the claim contains technical features in addition to algorithm features or business rules and method features, the claim as a whole is not a kind of intellectual activity rules and methods 但是，如果权利要求除包含算法特征或业务规则和方法特征外还包含技术特征，则该权利要求整体上不属于一种智力活动规则和方法
• Patentability should be determined by examining howall the technical features of a claimed invention and its algorithmic features or business methods or rules interact and support one another’s functionality 可专利性应通过审查一项要求保护的发明的技术特征及其算法特征或商业方法或规则如何相互作用和支持彼此的功能来确定
  • These technical means should offer a solution to a technical problem, thereby producing beneficial technical effects compared to the prior art 这些技术手段应当对技术问题提供解决方案，从而与现有技术相比产生有益的技术效果

接下来是Trade Secret

核心法律：PRC Unfair Competition Law, 1993

什么是Trade Secret (Art.10)

1. Any technology information or business operation information 任何技术信息或经营信息
2. which is unknown to the public 公众不知道的
3. can bring about economic benefits to the obligee 能给权利人带来经济利益
4. has practical utility and 具有实用性
5. about which the obligee has adopted secret-keeping measures 权利人已采取保密措施的

What can be a trade secret?

Any type of valuable information - a formula, practice, process, design, instrument, pattern, know-how, compilation of information, software source code, customer list, etc

任何类型的有价值的信息——公式、实践、过程、设计、仪器、模式、专有技术、信息汇编、软件源代码、客户名单等

Who may have trade secrets?

• Employees of a business
  • Independent contractors of the business 业务的独立承包商
• Researchers at universities
• Students, Lecturers etc

Trade Secret Protection - China

Prohibited Acts – Article 10

no business operator can

• Steal, lure, intimidate, use any unfair means to obtain TS 窃取、引诱、恐吓或采取其他不正当手段获取TS
• Disclose, use, allow use of TS obtained as above 披露、使用、允许使用上述获得的TS
• Disclose, use, allow use of TS in breach of confidentiality agreements 在违反保密协议的情况下披露、使用、允许使用TS
• Use any TS obtained in breach of confidentiality agreement 使用违反保密协议而获得的任何信息

A business operator shall not use any of the following means to infringe upon trade secrets:

经营者不得以下列方式侵犯商业秘密:

• (1) obtaining an obligee’strade secrets by stealing, luring, intimidation or any other unfair means; 以窃取、引诱、恐吓或者其他不正当手段获取权利人的商业秘密的;
• (2) disclosing, using or allowing another person to use the trade secrets obtained from the obligee by the means mentioned in the preceding paragraph; or 披露、使用或者允许他人使用通过前款方式获取的权利人的商业秘密;或
• (3) in violation of the agreement or against the obligee’sdemand for keeping trade secrets, disclosing, using or allowing another person to use the trade secrets he possesses. 违反约定或者违反权利人保守商业秘密的要求，披露、使用或者允许他人使用其拥有的商业秘密的。
• Obtaining, using or disclosing another’s trade secrets by a third party who clearly knows or ought to know that the case falls under the unlawful acts listed in the preceding paragraph shall be deemed as infringement upon trade secrets. 明知或者应当知道属于前款所列违法行为的第三人获取、使用或者披露他人的商业秘密，视为侵犯商业秘密。

What rights does the owner of a trade secret have?

Right to prevent following people from disclosing or using the information:

防止以下人员泄露或使用信息的权利:

• People bound by a duty of confidentiality not to disclose or use trade secret information – including employees 受保密义务约束不披露或使用商业秘密信息的人——包括雇员.

Patent 和 Trade Secret 的比较

Some of what is protected as a TS can also be protected by obtaining patent protection

一些作为技术转让工具受到保护的东西也可以通过获得专利保护来得到保护

• Patents: Quid Pro Quo 专利:交换条件
  • Full and complete disclosure, in return for a monopoly of a limited duration 全面和彻底的披露，以换取有限时间的垄断
  • Benefit: advances in technology shared with the world 利益:与世界共享技术进步
• Trade Secrets:
  • Kept confidential. No sharing of innovation 保密。没有创新分享

TS的优缺点

Advantages:

• There is no term fixed for its protection, unlike with patents or copyrights 与专利或版权不同，它没有固定的保护期限
• Perpetual monopoly 永恒的垄断
  • e.g. formula for Coca Cola – secret since created – 100+ years ago

Disadvantages:

• There is no monopoly granted 不存在垄断
• Independent duplication and use of information kept secret by a third party cannot be prevented 不能阻止独立复制和使用由第三方保密的信息