论文编号：
韩 龙
中国政法大学研究生院
二○○九年十月
功能性限定权利要求的专利权保护范围及侵权判定研究
摘 要
近年来，国家知识产权局专利局受理的专利申请和审理后授予专利权的案件数量急剧增加。随之而来，向国家知识产局专利复审委员会请求宣告专利无效、向法院提出专利侵权的案件也越来越多。在众多专利纠纷中，有一类案件由于权利要求中采用功能性限定，导致判断专利权保护范围的方式特殊而特别引人关注。在判断功能性限定权利要求的专利权保护范围方面，我国有两种截然相反的观点：一种观点认为功能性限定覆盖能够实现该功能的任何技术手段（以《
审查指南》为代表）；另一种观点认为，功能性限定仅覆盖说明书中描述的具体实施方式以及等同方式（以司法解释（征求意见稿）为代表）。本文着重分析以上两种观点产生分歧的根源、不同的解释方法对专利权保护范围的影响，并探讨如何解释功能性限定，合理地确定专利权的保护范围，以实现专利权人与社会公众之间的利益平衡。
本文分为引言、正文和结论三个部分。引言部分介绍了本文研究的缘起、研究对象、研究思路。正文分为三章。
第一章：功能性限定权利要求的基本问题。本章通过介绍美国和欧洲的专利审查实践，探寻功能性限定权利要求的内涵、审查标准，认为中国专利局《审查指南》对功能性限定规定过于严格，实践中很难操作，法律规定与实际情况脱节，导致公众利益难以得到保障。
第二章：专利权保护范围的确定。通过比较欧洲、美国和中国专利复审委员会以及法院对于使用功能性限定的权利要求授权以后专利权保护范围的判定，认为在专利法实践活动中难以执行中国《审查指南》的相关规定，法院与专利复审委员会审查标准不一致，导致专利诉讼出现混乱情况。本章最后对审查指南提出修改建议。
第三章：涉及功能性权利要求的专利侵权判定。本章中讨论了功能性限定权利要求在专利侵权诉讼中适用的特殊之处，对有关功能性权利要求的解释的规定提出修改建议。
结论部分总结了本文的主要内容以及笔者的观点。
关键词：专利；权利要求；功能性限定；专利权保护范围；专利侵权
Research on the Protection Scope and Infringement Judgment of the Claim with Functional Definition
Abstract
Recently, more and more new patent applications are being applied to the Sate Intellectual Property Office of the People’s Republic of China (SIPO), and more and more applications are granted patent rights. As a consequence, the quantity of the cases request the Patent reexamination Board to declare the patent right invalid and the cases instituting in courts are also on increasing. One kind of cases which are drafted by functional definition is espe
cially attract people’s attention since the method of determine the protection scope of such patent right is special. In China, there are two totally different views regarding the protection scope of the patent right with functional definition. One view is that the functional definition can cover all the technical means that can realized the function, which is represented by the Guidelines for Examination, and the other one is that the functional definition can only cover the specific embodiment described in the specification and the equivalents thereof, which is represented by the Judicial interpretations (asking for comments, not passed by the Supreme People’s Court yet). This dissertation analyses the origin of the above two the different views, the influence on the protection scope brought by the different interpretations on the functional definition and how to interpret the functional definition can balance the interest between the patentee and the public. The dissertation also discusses the specific principle regarding patent right with functional definition during the legal procedure.
Keywords: Patent; Claim; functional definition; protection scope of patent right; infringement
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