基础研究成果可专利性对专利制度的影响研究

华中科技大学硕士学位论文基础研究成果可专利性对专利制度的影响研究姓名：余甜申请学位级别：硕士专业：经济法学指导教师：杨为国20060427IIIAbstractScience-technologyisconstantlydeveloping,societyandeconomicenvironmentisalsochanging.Thetraditionalclassificationofscience-technologyincludesbasicresearch,applicationstudyanddevelopmentresearch,butnowthebasicresearchhaveenlargeditsconnotation,anddevelopedsomenewcharacter,privateinvestmentisgraduallyenteringbasicresearch,somoreandmoreresultsofbasicresearchhaverequiredpatent.Thepatenttendencyofbasicresearchresultsgeneratedunprecedentedimpactoncurrentlawregimeandpatentlawsystem,andneedtomakereasonableadjustments.Howtoadjustthatwecanmakethesenewobjectsintothetraditionalscopeofintellectualproperty,howtoadjustthatwecanmakethesenewpatentsobtainappropriaterightscope,howtoreformcanweachievethemodernizationofpatentlawsystem,andhowtoevolvethewholeintellectualpropertyregime,allareproblems.Thispaperattemptstoexploretheinteractionbetweenbasicresearch(biotechnology)andpatentlawsystem,throughthepathofchallengetoresponse,analysesreformtrendsandsum-upexperienceoftheUnitedStatesandotherdevelopedcountries,whichisessentialforourpatentsystemhowtoreformandhavesometheoreticalsignificance.Theresearchcontentincludes:reviewtheconnotationchangeofbasicresearch,itsnewfeatures,anditspatenttendencysummarizecorrelationbetweenpatentlawandscience-technologyretrospectthechangingofsomeprincipals,theory,judicialpracticeinpatentobjectandsubstantiverequirementforapatentstudyexpandedpatentrightderivefrombasicresearch,suchasresearchtoolpatents,reach-throughclaims,exploreruletolimitpatentright.KeywordsBasicresearchPatentlawsystemPatentobjectPatentabilityThescopeofpatentright111.11996·——Diamondv.Chakrabarty2DNA1.231.3422.1[1]12342.2[2]52-1()know-how2.32.3.1·1945OSRD·VBush[3]2-162-1Linearmodel2-2→→→2-22.3.2OECD1996•D.E.Stokes7[4][5]2-32-3123,,2.412319328DNADNA[6]1973CohenBoyeDNA1974KohlerMilstein[7]DNA92.52.5.1[8]20100502063110[9]2.5.2111980DNA2000771437DERWENT19801619906000200037.719906000%2001200036%[10]Diamondv.Chakrabarty[11]DNA1985Hibberd1987USPTO1988USPTO——19952000219851993199251819939451999175447527.1%127972.9%[12]20002003:8,41233.1[13]3.2133113·[14]151474116241624[15]218831432030WIPO1970(PCT)1877185019003.31520060010010010050100251001235002000[16]16--3.4173-13-1184patentability[17]4.14.1.1101PTODiamndvChakrabarty101191——23——(anythingunderthesunthatismadebyman)[18][19]522534.1.2201922J.Barthelemy5019781948FunkBros.Seed,Co.v.Kalo21InoculantCo[20]19792080Diamondv.Chakarabarty[21]10120001229[22]224.1.3DNADiamondv.ChakarabartyDianmondv.Chakrabarty23[11]2001627IngoKoher[23]244.2[24]4.2.1useful(USPTO)2001(specificsubstantial&credible)521IndustrialApplicability57291224(embarrassment)25[25]Cornish[26]4.2.2Story1817Bedfordv.HuntStory[27]2619951997ESTs20011DNA——,5(3),,274.34.3.12224.3.2,DNA28DNA4.44.4.1(Nonobviousness)10310256223(2.22.3)294.4.21Grahamv.JohnDeereCoABCSecondaryfactors210330KohlerMilsteinCohenBoyeDNADNA1991AmgenInc.v.ChugaiPharmaceuticalCoDNAAmgenInreBellDNAPTONucleotidesequences1036BELLInreDeuel[28]DNADNADNA314.5——32520029‘’5.114233[29]316243445.25.2.1(endproducts)PCR(NationalInstituteofHealthNIH)1998[30]ESTs1ESTscDNAESTs1ExpressSequenceTagscDNAESTs35[31]19701980Stevenson-WydlerBayh-Dole(materialtransferagreementsMTAs)5.2.2Reach-ThroughClaims()XYXYY361X2XXX324Y31234125-15-1X5,00010,000250(FDA)FDAxYX234137[32]2001[33]X5.3(thetragedyoftheAnticommons)38[34](pioneerpatent)1[35]β——32701ChillingEffect39[36]DiscreteinventionCumulativetechnologies(Chemistrytechnologies)(Science-basedtechnologies)[37]5.440——(experimentuse)1984Rochev.Bolar[38]1984DrugPriceCompetitionandPatentTermRestorationActTheHatch-WaxmanActsafeharborBolarsolelyforusesreasonablyrelatedtothedevelopmentandsubmissionofinformationunderaFederallawBolar(reasonablyrelated)(patentinvention)(solelyforuse)20036641IntegraLifeSciences,Ltdv.MerckKGaA19842711FDA5.5424344RobertP.Merges452003200346[1],.——.1.:,1994,1[2],..1.:,1991,1720[3][]·.:.1..:,1985,5152[4][]D·E·.——.1..:,1999,56[5],..,2000,22(4):5056[6]..1.:,2003.357[7]R.Merges.CommercialSuccessandPatentStandards:EconomicalPerspectiveonInnovation,Cal.L.Rev,1988,76:803[8]..,2004,22(3):317321[9]GibbonsM,etal.TheNewProductionofKnowledge:theDynamicsofScienceandResearchinContemporarySocieties.1994:156[10].,,[11]Diamondv.Chakrabattv,447U.S.303,309,206U.S.P.Q.193,197(1980).[12]..,2000712:1[13][]...1..:,1994.16[14]..3.:,2003.34[15]..1.:,1996.247[16]..,2005,5:2023[17]RobertL.Hamon.PatentandFederalCircuit.2edit.Chicago:WillianBrinksOldsHoferGilsonandLioneLtd,1991.27147[18]USPTO.ManualofExaminationProcedure.SeventhEdition,1998,7[19]..1.:,2002.246[20]FunkBros.SeedCo.v.KaloInoculantCo.333U.S.127,76U.S.P.Q.(BNA)280(1948).[21]G.KennethSmithDeniseM.Kettelberger.PatentsandtheHumanGenomeProjectAIPLAQ.J,22(1):5657[22]USPTO.UtilityExaminationGuidelines.FederalRegister,2001,5[23]Officialinformation—CommentsonGeneticEngineering,June27,2000,[24]..1.:,1994.280[25],..,2006,23(1):3234[26]W.R.Cornish,IntellectualPro