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1、法 律 硕 士 专 业 学 位 论 文组合物专利封闭式权利要求保护范围的研究A Study on the Protection Scope of a Closed Claim in the Composition Patent作 者 姓 名：邹世凯 指 导 教 师：康添雄 西南政法大学Southwest University of Political Science and Law内容摘要随着医药、化学等领域发明专利的增加，相关的专利侵权纠纷也大量出现。在医药、 化学等领域的发明专利权利要求中，采用“封闭式”的撰写方式成为比较普遍的现象。封闭式权利要求是一种特殊类型的权利要求，与开放式权利要求
2、相对应。组合物专 利封闭式权利要求，是指组合物专利中采用“由组成”或类似措辞撰写的权利要求， 表示组合物仅包括所指出的组分而排除所有其他的组分。依照专利审查指南中的相 关规定，封闭式权利要求的保护范围限于所指出的组分，除通常含量的杂质外，没有别 的组分。但是，对于如何合理界定组合物封闭式权利要求的保护范围，在司法实践中存 在不小的争议。由于专利法及其实施条例中都没有关于封闭式权利要求的规定，最 高人民法院出台的相关司法解释也没有详细解释如何界定封闭式权利要求的保护范围， 司法实践中只有参照专利审查指南中的相关规定进行解释，结果往往导致不同法院 对相同的案件中的封闭式权利要求保护范围作出不一样的
3、解释，出现截然相反的裁判结 果，损害司法权威。因而，有必要对组合物封闭式权利要求的保护范围进行研究。本论文共分为五部分： 第一部分：案件综述。本部分内容主要是通过一例专利侵权纠纷案件引出本论文要论述的问题。第二部分：案例焦点及问题的提出。对于组合物封闭式权利要求，是否将“排除其 他所有组分”作为其隐含的技术特征，将直接影响组合物专利保护范围的宽窄以及被控 侵权产品是否侵犯专利权的裁判结果。第三部分：封闭式专利权利要求及其存在的原因。本部分首先概述了专利权利要求 和封闭式权利要求的定义；然后简要讲述了封闭式权利要求的渊源和发展，并对封闭式 权利要存在的原因进行了分析；最后讲述了封闭式权利要求的应
4、用及其应用在不同专利 领域的特点。第四部分：组合物专利封闭式权利要求保护范围的界定。本部分首先就专利权的保 护范围和封闭式权利要求的保护范围进行了论述；然后通过对确定专利权保护范围的三 个阶段的分析来论述该如何界定组合物封闭式权利要求的保护范围；最后结合案例对组合物封闭式权利要求审查确定的保护范围、侵权判定的保护范围进行了论述。 第五部分：现行专利制度中关于组合物封闭式权利要求保护范围规定之完善。本部分首先对现行专利制度的规定及其理解的合理性进行分析，然后对如何更好地平衡组合 物专利权人和社会公众之间的权利提出建议，包括对专利审查指南关于组合物封闭 式权利要求的规定进行适当的修改及进一步完善相
5、关司法解释。关键词：专利权；封闭式权利要求；组合物；保护范围；技术特征AbstractWith the increase of invention patents in the medical and chemical fields, there have been an increasing number of relevant patent infringements in the recent years. And a closed claim has become common in the invention patent of medical and chemical fields
6、.A closed claim belongs to a special patent right and it is in correspondence to the open claim. And a closed claim should use the transition phrase of “consisting of .”, and this shall normally be interpreted as the statement that the composition does not include any component other than those that
7、 have been set forth in the claim. According to the provisions of the Guidelines for Patent Examination (hereinafter referred to Guidelines), the protection scope of a closed claim is limited to the components that have been set forth in the claim. However, there is still considerable dispute over t
8、he protection scope of a composition closed claim in the juridical practice. And there are no provisions about a closed claim in the Patent Law and its regulations for the implementation, and the Supreme Court has not elaborated the protection scope of a closed claim in its relevant judicial interpr
9、etation. Therefore, courts can solely refer to the provisions of the Guidelines for judicial interpretation in the juridical practice, which leads to different judicial interpretations about the protection scope of the same closed claim in different courts and even opposite verdicts about the same c
10、losed claim. This undermines the judicial authority. Therefore, it is of great significance to carry out a study on the protection scope of a closed claim in composition patent.The dissertation can be divided into five chapters.Chapter one is the case review. The chapter presents a series of patent
11、infringement cases so as to prove the importance of this study.Chapter two is the introduction about the case focus and the relevant problems. The scope of patent protection and the verdicts of relevant patent infringement cases are directly influenced by whether or not “not including any component
12、other than those set forth in the claim” is regarded as an implied technical feature in the composition closed claim.Chapter three is an introduction about a closed claim and the reasons for its existence. First and foremost, the chapter presents the definition of patent claim and closed claim. The
13、following part is the presentation of the closed claim origin and development and an analysis of the reasons for its existence. Last but not least, the chapter introduces the application of a closed claim and the characteristics of its application in different fields.Chapter four is the definition o
14、f protection scope of a composition closed claim. Initially, the chapter presents the protection scope of a patent and a closed claim. The second part shows how the protection scope of a closed claim shall be defined in reference to the analysis of the three phases in the patent protection scope. Th
15、e last part carries out an analysis of the protection scope of a composition closed claim based on the relevant infringement cases, and this protection scope is determined through the examination and the verdicts of infringement cases.Chapter five is the suggestions of the protection scope of a comp
16、osition closed claim in the current patent system. Initially, this chapter carries out an analysis of the provisions as to a closed claim in the current patent system. The following part is the suggestions as to how to balance the interest of the patent owners and that of the public, which includes the suggestions about the revision of the pr
