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世界知识产权组织对知识产权担保权益问卷调查(英文稿)

世界知识产权组织对知识产权担保权益问卷调查(英文稿)
世界知识产权组织对知识产权担保权益问卷调查(英文稿)

ANNEX I

WIPO Questionnaire on Security Interests in Intellectual Property Background

Intellectual property (IP) financing is an area of increased interest and importance globally. As intangible assets have increased in value, so IP rights represent substantial assets for companies of all sizes in developing and developed economies. As described in this Information Paper, such IP assets are increasingly being used as collateral for the purpose of raising debt finance, or credit. However, the ability of IP owners to use their IP effectively to gain access to low cost credit requires the support of national law, and increased awareness of IP financing among governments, the IP community and financial institutions.

In 2003, the World Intellectual Property Organization (WIPO) was requested by the United Nations Commission on International Trade Law (UNCITRAL) to cooperate in its work on the development of a Legislative Guide on Secured Transactions and, in particular, to provide expertise in the field of secured financing and IP law. The purpose of the UNCITRAL Legislative Guide is to assist States to develop modern secured transactions laws, so as to promote the availability of secured credit. The UNCITRAL Legislative Guide was concluded in 2007, and UNCITRAL Working Group VI is drafting a supplement to the Guide dealing with secured transactions involving IP, expected to be completed in 2010.

There is an increasing need for information on this issue, as the practice of securitization of IP is taken up by a variety of enterprises in various jurisdictions. Securitization of IP assets can be an important tool for economic development, and numerous governments are considering the modernization of their secured transactions laws to facilitate the practice.

Questionnaire

At the request of, and in consultation with, its Member States, the WIPO Secretariat conducted a questionnaire designed to gather information on the manner in which security interests in IP are dealt with in national copyright, patent and trademark laws. For this purpose, “IP laws” include d legislative enactments, administrative regulations, or judicial decrees that generally constitute the body of IP law in each country (including at the federal and provincial level) or region. The questionnaire was designed to collect data, and provide Member States with access to information about degree to which secured transactions are provided for in IP law in various countries and regions of the world, and thereby to assist them to evaluate the IP issues being raised in this field in various fora.

The Secretariat distributed the questionnaires to the WIPO Member States in December 2008, and comments were received from 66 Member States and regional organizations. The responses were greatly varied, with some States giving detailed provisions of relevant legislation, with other States providing narrative descriptions of the national context and legal situation for IP financing, and further States responding that their applicable legislation did not address the issues covered by the questionnaire.

Responses to the questionnaire were provided by the following Member States and regional organizations: Algeria, Armenia, Australia, Austria, Bolivia, Bosnia & Herzegovina, Brazil, Bulgaria, Burkina Faso, Canada, Chile, China, Colombia, Cuba, Cyprus, Czech Republic, Denmark, Estonia, Ethiopia, Eurasian Patent Organization, European Patent Office, France, Georgia, Germany, Greece, Ireland, Israel, Italy, Japan, Kazakhstan, Kenya, Korea, Kyrgyz Republic, Latvia, Lichtenstein, Lithuania, Malaysia, Mexico, Moldova, Monaco, Montenegro, New Zealand, Peru, Philippines, Republic of Slovenia, Romania, The Russian Federation, Saint Vincent and the Grenadines, Senegal, Seychelles, Slovak Republic, South Africa, Spain, Sweden, Switzerland, Thailand, The Netherlands, Trinidad and Tobago, Tunisia, Uganda, Ukraine, United Kingdom, United States of America, Uzbekistan, Zambia.

The eight questions making up the questionnaire were addressed to patents, trademarks, industrial designs and copyright, as follows:

Question 1

Are security interests in IP, or any issue related to security interests in IP, addressed in any of your country’s IP laws?

Question 2

If issues relating to security interests are addressed in your country’s laws, for the

following types of IP, please indicate whether such issues are addressed in a) only IP laws, b) both, IP laws and other laws, c) only other laws, d) no law

Question 3

If issues relating to security interests are addressed in your country’s laws, please

indicate which law addresses the following issues:

(i)The creation or granting of security interest in IP;

(ii)The method(s) for making a security interest in IP effective against third parties (including infringers) or for giving notice to third parties;

(iii)The priority to be given to a security interest in IP with respect to other assignments, licenses, or security interests;

(iv)The enforcement of a security interest in IP.

Question 4

Can security interests in IP be recorded on a register in your country, whether an IP-

specific register or other register?

Question 5

In your country or region does a security interest in IP become effective against third parties upon its creation, or is it necessary to record the security interest in any register or in an IP-specific register for it to become effective against third parties? Question 6

In your country or region if a security interest can be recorded in an IP-specific

register, what effect does such recording have on its priority against later competing

assignments, licences and security interests? Does such a recording give priority over all competing parties regardless of their knowledge, or only over those without

knowledge of the security interest, or merely create a presumption of priority or have another or no effect?

Question 7

Under the applicable law in your country or region does a security right in IP include any proceeds realized from the exercise of the IP, such as license fees, equitable

remuneration, royalties or other compensation?

Question 8

In the case that IP subject to security interest is infringed by a third party, how does

the applicable law in your country or region address the following matters:

(i)Does the applicable law allow the secured creditor to take legal action to

preserve the value of its security, either alone or in conjunction with the

owner of the IP?

(ii)If the applicable law allows the secured creditor to take legal action, can the secured creditor collect damages, obtain an injunction, or both?

(iii)If the applicable law allows the secured creditor to take legal action against third parties, do the debtor and secured creditor have autonomy to

determine the right to do so in the security agreement, or is it determined

solely by the IP law, or is the issue unaddressed in your law?

Summary of results

This Annex I contains, below, a summary giving a general picture of responses to each question, then in Part I, a compilation of responses to each question in the questionnaire, and in Part II, a short description of the response provided by each Member State. It should be noted that the statistics below do not amount to a total of 100% in each case, because some States provided more than one answer per question and others omitted some answers.

In summary:

With respect to Question 1 (Are security interests in IP, or any issue related to security interests in IP, addressed in any of your country’s IP laws?), some 61% of responding Member States stated that their national and/or regional provisions did address security interests in IP, whereas some 36% of responding Member States stated that their IP laws contained no provisions addressing security interests in IP.

With respect to Question 2 (If issues relating to security interests are addressed in your country’s laws, for the following types of IP, please indicate whether such issues are addressed in a) only IP laws, b) both IP laws and other laws, c) only other laws, d) no law), a minority of 12% of responding Member States’ laws addressed security interests in IP by relying on IP law provisions only, while some 49% use a mixture of IP law and other laws. A significant proportion of responding Member States, some 43%, stated that other sources of law than IP law covered the issue (and for 30% of these countries, this was only for copyright-related transactions). Finally, 22% of responding Member States did not have any law addressing the issue.

With respect to Question 3 (If issues relating to security interests are addressed in your country’s laws, please i ndicate which law addresses the following issues: (i) the creation or granting of security interest in IP; (ii) the method(s) for making a security interest in IP effective against third parties (including infringers) or for giving notice to third parties; (iii) the priority to be given to a security interest in IP with respect to other assignments, licenses, or security interests; (iv) the enforcement of a security interest in IP), the responses indicated that in most cases, the issues were addressed by laws other than IP laws. First, with regard to the creation or granting of security interest in IP, some 65% of responding Member States relied on laws other than IP. Second, with regard to the method for making a security interest effective against third parties, some 50% of responding Member States relied on laws other than IP. Third, with respect to the priority to be given to security interests in IP, some 40% of responding Member States relied on laws other than IP and, fourth, with respect to enforcement of a security interest in IP, 64% of responding Member States followed the trend.

With respect to Question 4 (Can security interests in IP be recorded on a register in your country, whether an IP-specific register or other register?), it appears that security interest in IP can be recorded in an IP specific register in the majority of countries, as indicated by some 67% of responding Member States, while 31% of them allocated other types of register and some 14% maintain no register.

With respect to Question 5 (In your country or region does a security interest in IP become effective against third parties upon its creation, or is it necessary to record the security interest in any register or in an IP-specific register for it to become effective against third parties?), the results were very diverse. Some 40% of responding Member States stated that a record had to be made in an IP-specific register for the security interest to be effective against third parties, while 29% of Member States declared that the security interest became effective against third parties upon its creation, and in some 18% of Member States, a security interest in IP became effective against third parties once recorded in other types of register.

With respect to Question 6 (In your country or region if a security interest can be recorded in an IP-specific register, what effect does such recording have on its priority against later competing assignments, licences and security interests? Does such a recording give priority over all competing parties regardless of their knowledge, or only over those without knowledge of the security interest, or merely create a presumption of priority or have another or no effect?), the questionnaire revealed that in some 37% of responding Member States in which a security interest could be recorded on an IP-specific register, such recordation gives priority over all competing parties regardless of their knowledge, as opposed to some 26% of responding Member States in which recordation had no such effect. In about 11% of responding Member States a presumption of priority was established, while in 5% of Member States, priority was only accorded to competing parties without knowledge of the security interest in IP.

With respect to Question 7 (Under the applicable law in your country or region does a security right in IP include any proceeds realized from the exercise of the IP, such as license fees, equitable remuneration, royalties or other compensation?), the questionnaire again revealed divergences among responding Member States, with some 41% of Member States responding that a security right in IP does include all the proceeds realized from the exercise of the IP, whereas such proceeds are not included in the security right in IP in some 34% of Member States.

Finally, with respect to Question 8 (In the case that IP subject to security interest is infringed by a third party, how does the applicable law in your country or region address the following matters: (i)Does the applicable law allow the secured creditor to take legal action to preserve the value of its security, either alone or in conjunction with the owner of the IP?; (ii) If the applicable law allows the secured creditor to take legal action, can the secured creditor collect damages, obtain an injunction, or both?; (iii) If the applicable law allows the secured creditor to take legal action against third parties, do the debtor and secured creditor have autonomy to determine the right to do so in the security agreement, or is it determined solely by the IP law, or is the issue unaddressed in your law?), the results of the questionnaire revealed that the laws of some 31% of responding Member States allowed the secured creditor to take action alone to preserve the value of the security, while 20% of Member States’ laws allowed the secured creditor to take such legal action only together with the owner of the IP, and some 28% of Member States’ laws allow no such action. In countries where the secured creditor is allowed to bring a legal action, some 34% of responding Member States’ laws provide that the secured creditor can claim damages, seek an injunction or obtain both, while in 3% of responding Member States the laws restrict remedies to an injunction only, and in 5% of responding Member States the laws restrict remedies to damages only. In addition, in some 32% of responding Member States, debtors and secured creditors have the autonomy to determine the right to bring legal action in their security agreement, whereas in some 6% of Member States, the applicable IP laws address the issue, and a similar proportion of other Member States, no legal provisions address the issue.

Part I Compilation of responses to the questionnaire

* Except for copyright

** Except for patents

*** Except for industrial designs

? Except for more than one of the above

WIPO/IP/FIN/GE/09/7

page 134

* No/other laws for copyright and/or patents

** No/other laws for trademarks and/or industrial designs *** Mixed laws for copyright only

*Except for copyright

** Other law for copyright only

* No register for copyright

** Other register for copyright

*** No register for more than one IP right (copyright, trademarks, patent and industrial designs)

* Except for copyright

* Except for copyright

* Available for copyright only

Part II Summary of national responses on security interests in IP

The following paragraphs summarize each of the 67 responses to the WIPO questionnaire, illustrating the variety of approaches to security interests in IP, through IP laws and otherwise.

1.In Algeria, security interests in IP are not covered by national law, but are addressed

by other laws governed by the Code of Commerce. Although no IP law directly

addresses the issue, the Code of Commerce provides for the means to make security

interests in IP effective against third parties as well as the priority order to follow with regard to other assignments, licences or security interests. The Civil Procedure Code addresses the required steps to follow regarding enforcement of a security interests in IP. The latter must be recorded in a non IP-specific register in order to be recognized and enforceable against third parties and/or all parties involved, as stipulated by

Article 120, Ordinance No.75-59 of the Civil Code. In cases of infringement, the

secured creditor can take legal action to preserve its interests either alone or with the

owner to seek relief through damages, injunction or both. However, it should be

noted that debtors and secured creditors enjoy full autonomy to determine in their

agreement whether the right to take legal action can be granted.

2.In Armenia,security interests in IP and related issues are not covered by any

provisions in the national IP law or other law.

3.In Australia,security interests in IP are covered by national IP law with the exception

of security interests involving copyright assets, which are covered by a mixture of IP

laws and other laws. Indeed, common law governs the area of security interests in

trademarks and patents by recognizing the creation or granting of security interests as well as the methods for making the security interest in IP effective against third

parties, whereas security interests in copyright are governed by national contract and

equity law. The same legislation addresses issues related to the priority to be given to security interests in IP with respect to other assignments, licences, or security interests and their enforcement. In order to be effective, security interests in IP must be

recorded in an IP-specific register, with the exception of copyright, which involves

another register. As stipulated by the various IP laws, security interests become

effective against third parties upon their creation. While the recordation of security

interests in IP in an IP-specific register creates a presumption of priority over later

competing assignments; there is no such effect with respect to trademarks. Under the

applicable law, security rights in IP do include any proceeds realized from the

exercise of the IP, such as license fees, equitable remuneration, royalties and/or other compensation. There is no relevant law allowing a secured creditor to take legal

action to preserve the value of its security; where IP subject to a security right is

infringed, the national IP law grants a right to a secured creditor to take legal action against third parties to either claim for damages, an injunction or both. The right of a secured creditor to take legal action is governed by IP law only.

4.In Austria,security interests in IP are covered by a mixture of national IP laws and

other laws. Various IP laws and other laws address issues ranging from the creation or granting of a security interest in IP, to the method for making the security interest effective against third parties. The priority to be given to security interests in IP with respect to other assignments, licences and the enforcement of a security interest are governed by national IP law, with the exception of security interests in copyright, for which other laws apply. Security interests in IP can be recorded in an IP-specific

register, with the exception of copyright for which no register exists. Security

interests in IP become effective against third parties upon creation with regard to

trademarks and copyright, whereas security interests in industrial designs and patents need to be recorded in an IP-specific register. Furthermore, the effect of such

recordation is to give priority over all competing parties regardless of their knowledge.

Under the applicable law, security rights in IP include any proceeds realized from the exercise of the IP such as license fees, equitable remuneration, royalties and/or other compensation. If IP subject to a security interest is infringed by a third party, the

applicable law allows the secured creditor to take legal action alone or with the owner to seek damages, an injunction or both. However, there is no law addressing the issue whether a debtor and secured creditor would have the autonomy to determine whether

a party to the contract would have the right to take legal action or not.

5.In Bolivia,security interests in IP are not addressed by IP law or any other national

law. There is no register allowing the recordation of security interests in IP and,

under the applicable law, security rights in IP do not include any proceeds realized from the exercise of the IP.

6.In Bosnia & Herzegovina,security interests in IP are covered by a mixture of national

IP laws and other laws with the exception of copyright, which is not covered by law.

The Law on Obligatory Relations and Law on Industrial Property govern this area and provide for the creation or granting of a security interest in IP as well as the methods for making such interests effective against third parties, the priority to be accorded and their enforcement. Security interests in IP can be recorded in an IP-specific

register, and such recordation is a pre-requisite to make it effective against third

parties. The effect of such a recordation is to give priority over all competing parties regardless of their knowledge. Under the applicable law, security rights in IP include any proceeds realized from the exercise of the IP such as license fees, equitable

remuneration, royalties and/or other compensation. In the case that IP subject to a

security interest is infringed by a third party, the applicable law allows the secured creditor to take legal action alone to seek damages, an injunction or both. However, debtors and secured creditors enjoy full autonomy to determine in the security interest agreement whether the right to take legal action can be granted.

7.In Bulgaria,security interests in IP are covered by a mixture of national IP laws and

other laws with the exception of security interests in copyright, which are not covered by law. The various IP laws and other laws address issues ranging from the creation or granting of a security interest in IP, to the method for making the security interest effective against third parties. The priority to be given to security interests in IP with respect to other assignments, licenses and enforcement are governed by other law,

with the exception for security interests in copyright for which there is no applicable

law. Security Interests in IP can be recorded in an IP register or other register, with the exception of copyright. The Law on Patents and Utility Model Registration and the Law on Marks and Geographical Indications, as well as the Law on Industrial

Designs all require the registration of the relevant IP rights on their respective register in order to become effective against third parties. The effect of such a recording gives priority over all competing parties regardless of their knowledge. If IP subject to a security interest is infringed by a third party, the applicable law does not allow the secured creditor to take legal action in order to preserve the value of its security.

8.In Burkina Faso,security interests in IP are not covered by IP law alone, but by a

mixture of IP law and other legislation. The “Accord de Bangui du 24 Février 1999”

in addition to the “A ctes Uniformes OHADA du 17 Avril 1997” govern all issues

related to the creation of security interests in IP as well as the methods for making it effective against third parties, in addition to the priority to be accorded and its

enforcement. The effect of such recordation is to give priority over all competing

parties regardless of their knowledge. Under the applicable law, security rights in IP does include the proceeds realized from the exercise of the IP such as license fees, equitable remuneration, royalties and/or other compensation. If IP subject to a

security interest is infringed by a third party, the applicable law allows a secured

creditor to take legal action with the owner of the IP to preserve the value of its

security, and to seek damages, an injunction or both in court. Also, the debtor and secured creditor have the autonomy to determine in their agreement whether there is a right to take such legal action. (Note, the response for this country did not address all questions.)

9.In Brazil,security interests in IP are covered by a mixture of national IP laws and

other laws. The Brazilian Civil Code provides for the creation or granting of a

security interest in IP as well as the methods for making it effective against third

parties, the priority to be accorded and its enforcement. Security interests in IP can be registered in an IP register, and such registration is a pre-requisite to make the

security interest effective against third parties. However, security interests in

copyright cannot be registered and are considered to take effect upon creation as

prescribed by national IP law. The effect of such recordation is to give priority over all competing parties regardless of their knowledge. Under the applicable law,

security rights in IP do not include the proceeds realized from the exercise of the IP such as license fees, equitable remuneration, royalties and/or other compensation. If IP subject to a security interest is infringed by a third party, the applicable law allows the secured creditor to take legal action to preserve the value of its security in

conjunction with the owner of IP, although the purpose of the legal action is restricted to the granting of an injunction. The debtor and secured creditor have the autonomy to determine in the security agreement which party should have the right to take legal action against third parties.

10.In Canada,security interests in IP are not covered by IP law alone, but by a mixture of

IP law and other legislation, particularly with respect to security interests in copyright.

The Canadian Personal Property Act provides for the creation or granting of a security interest, as well as the methods for making it effective against third parties, the order of priority to be given to it with respect to other assignments, licences and its

enforcement. Security interests in IP have to be recorded onto an IP-specific register in order to become effective against third parties, with the exception of security

interests in copyright, which become effective against third parties upon creation.

Such recordation gives priority over all competing parties regardless of their

knowledge. Also, under the applicable law, security interests in IP do not include the proceeds realized from the exercise of the IP such as license fees, equitable

remuneration, royalties and/or compensation. Furthermore, if IP subject to security interest is infringed by a third party, there is no provision allowing the secured

creditor to take action in order to preserve the value of its security.

11.In Chile,security interests in IP are covered by national IP law, except for security

interests in copyright. The Chilean Civil Code and Commercial Code address the following issues: creation or granting of security interests in IP, the methods for

making such agreements effective against third parties, the priority to be given with regard to other assignments, licences and enforcement. In order to be effective

against third parties, security interests in IP must be recorded on an IP-specific

register. However, such recordation has no effect and does not give priority over all competing parties. Furthermore, security rights in IP do not include any proceeds realized from the exercise of the IP such as licenses, remuneration, royalties and/or compensation. If IP subject to a security interest is infringed by a third party, the applicable law does not allow the secured creditor to take legal action to preserve the value of its security.

12.In China,security interests in IP are not covered by law, with the exception of

security interests in copyright, which are governed by a mixture of national IP laws and other laws. The Property Law and Guarantee Law of the People’s Republic of China provides for the creation or granting of security interests in IP as well as the methods for making them effective against third parties, the priority to be given with regards to other assignments, licences and enforcement. To be effective against third parties, a security interest must be recorded in an IP-specific register. The effect of such recordation gives priority over all competing parties regardless of their

knowledge. Under the applicable law, security interests in IP do not include the

proceeds realized from the exercise of the IP such as license fees, equitable

remuneration, royalties and/or compensation. If a security interest in copyright is infringed by a third party, the applicable law allows the secured creditor to take legal action to preserve the value of its security; however a different principle applies to a security interests in other types of IP, such as patents, trademarks and industrial

designs. Consequently, a secured creditor may seek damages only in cases of

copyright infringement. Also, IP law determines when a debtor and secured creditor have the autonomy to determine in the agreement whether there is a right to take legal action.

13.In Colombia,security interests in IP are not covered by IP law. However, the

Colombian Commercial Code deals with issues related to security interests in IP. It provides for the creation or granting of a security interest in IP, the methods for

making it effective against third parties and the priority to be given with regard to other assignments and/or licences. Security interests in IP must be recorded in an IP-specific register as well as in another register to become effective against third parties.

The effect of such recordation is to merely create a presumption of priority. Under the applicable law, security interests in IP do not include the proceeds realized from the exercise of the IP such as license fees, equitable remuneration, royalties and/or compensation. If IP subject to a security interest is infringed by a third party, the applicable law does not allow a secured creditor to take legal action to preserve the value of its security.

14.In Cuba,security interests in IP are not covered by IP law. The Cuban Civil Code

(Article 59), provides for issues related to security interests in IP including the

creation or granting of a security interest, the methods for making it effective against third parties, and its enforcement. The above-mentioned law provides that there is no requirement to record a security interest in a register as it is considered to exist upon its creation and is effective against third parties. Under the applicable law, security rights in IP do include any proceeds realized from the exercise of the IP such as

license fees, equitable remuneration, royalties and/or compensation. If IP subject to a security interest is infringed by a third party, the applicable law allows a secured

creditor to take legal action alone to preserve the value of its security, and to seek damages, an injunction or both in court. Also, the debtor and secured creditor have the autonomy to determine in their agreement whether there is a right to take such legal action.

15.In Cyprus,security interests in IP are not covered by IP law. The Cypriot Contract

Law governs this area and provides for issues related to security interests in IP such as the creation or granting of a security interest, the methods for making it effective

against third parties, and its enforcement. The applicable law provides that there is no need to record a security interest in a register as it is considered to exist upon its

creation and is effective against third parties. The recordation of a security interest in IP has no effect upon its priority against later competing assignments. Under the

applicable law, security rights in IP do not include the proceeds realized from the exercise of the IP such as licence fees, equitable remuneration, royalties and/or

compensation. If IP subject to a security interest is infringed by a third party, a

secured creditor may decide to take legal action alone or with the IP owner in order to preserve the value of its security, and may seek damages, an injunction or both, in court. In addition, the debtor and secured creditor have the autonomy to determine in their agreement whether there is a right to take legal action.

16.In the Czech Republic,security interests in IP and related issues are addressed by IP

laws, with the exception of security interests in patents and copyright, which both depend on a mixture of other laws. The Czech Civil Code, Trade Marks and Patents Acts provide for the creation or granting of security interests in all forms of IP except for copyright. They also provide for the priority to be given to a security interest in IP with respect to other assignments or licences. However, the method for making a security interest in IP effective against third parties is governed by IP laws such as the Trade Marks Act, Patents and Industrial Designs Act. The enforcement of a security interest in IP is governed by the Czech Republic Civil Code. Security interests in IP can be recorded in an IP-specific register, whilst security interests in copyright

become effective against a third party upon their creation. Recordation of a security interests in IP gives priority over all competing parties regardless of their knowledge.

Under the applicable law, security rights in IP include any proceeds realized from the exercise of the IP such as licenses, equitable remuneration, royalties or other

compensation. If IP subject to a security interest is infringed by a third party, the applicable law does not allow the secured creditor to take legal action to preserve the value of its security.

17.In Denmark,security interests in IP and related issues are covered by a mixture of

national IP laws and other laws. The Law on Registration (Chapter 7) provides for the creation or granting of a security interest in IP, as well as the method for making a security interest in IP effective against a third party. In addition, it provides for the

priority to be given to security interests in IP with respect to other assignments,

licences, or security interests. The Danish Administration of Justice Act provides for the enforcement of security interests. Security interests in IP can be recorded in an IP-specific register, with the exception of security interests over copyright that can be registered in another register in order to gain effectiveness against third parties.

However such recordation has no effect, and does not give priority over all competing parties. Under the applicable law, security interests in IP include any proceeds

realized from the exercise of the IP subject such as licenses, equitable remuneration, royalties or other compensation. If IP subject to a security interest is infringed by a third party, the applicable law allows the secured creditor to take legal action alone to claim for damages, an injunction or both. Also, the debtor and secured creditor enjoy the autonomy to determine in their agreement whether the right to take legal action subsists.

18.In Estonia,security interests in IP and issues related to them are covered by national

IP laws, except for security interests in copyright. These laws provide for the creation or granting of security interests in IP, the method for making them effective against third parties, the priority to given to security interests in IP with respect to other

assignments, licences, or security interests, as well as the enforcement of such

security interests. Security interests in IP can be recorded in an IP-specific register to become effective against third parties. In addition, such recordation gives priority over all competing parties regardless of their knowledge. Under the applicable law, security interests in IP include the proceeds realized from the exercise of the IP such as licenses, equitable remuneration, royalties or other compensation.

19. In Ethiopia,security interests in IP and related issues are not covered by any national

IP or other law.

20.Under the jurisdiction of the Eurasian Patent Organization,security interests in IP and

related issues are covered by IP laws with respect to patents only. The Patent

Regulations under the Eurasian Patent Convention provide for the creation or granting of security interests in IP and the method for making them effective against third

parties. They also provide for the priority to be given to security interests in IP with respect to other assignments, licences or security interests, in addition to their

enforcement. Under the applicable law, security interests in IP can be recorded in an IP-specific register to become effective against third parties regardless of their

knowledge. If IP subject to a security interest is infringed by a third party, IP law provides that a debtor or secured creditor can decide alone to take legal action in order to preserve the value of its security by seeking an injunction.

21.Under the jurisdiction of the European Patent Office,applications as an object of

property are subject to national law (Article 74 of the European Patent Convention (EPC)). As the EPC does not provide otherwise, this is also the case for European patents (Article 2(2) of the EPC). However, the EPC contains a few provisions aimed at ensuring that the applicant or other parties to the proceedings are clearly identified.

According to Article 72 of the EPC, an assignment of a European patent application shall be made in writing and shall require the signature of the parties to the contract.

Furthermore, transfers, other rights in rem and enforcement measures affecting a

European patent application are recorded in the European Patent Register (Rule 22 and 23, Implementing Regulations). To this end, the interested party is required to file

a request in writing, provide written proof of the relevant act and pay a fee. These

provisions only apply to European patent applications and to granted patents during

the opposition period or the opposition proceedings. Granted patents are entered in the national patent register and that entry entitles the proprietor to take action.

22.In France,security interests in IP and related issues are covered by a mixture of

national IP laws and other laws. The Intellectual Property Code addresses several issues such as the method for making security interests in IP effective against third parties as well as the priority to give the security interest in IP with respect to other assignments, licences, royalties or other compensation. The creation or granting of security interests in IP and their enforcement are dealt with by other laws. Security interest in IP can be registered in an IP-specific register to become effective against third parties regardless of their knowledge.

23.In Georgia,security interests in IP are not covered by any national IP or other law.

Security interests in IP are considered to exist upon its creation and can be recorded in an IP register. Such recordation creates a presumption of priority over other

assignments. Under the applicable law, the security interest does not include any

proceeds realized from the exercise of the IP, such as license fees, equitable

remuneration, royalties or other compensation. No provisions in national law address the issue of what should occur where a secured interest in IP has been infringed by a third party.

24.In Germany,security interests in IP and related issues are addressed by a mixture of

national IP laws and other laws, except for security interests with respect to patents and copyright. National IP laws govern issues related to the creation or granting of security interests in IP, and the method for making them effective against third parties, whereas the Code of Civil Procedure addresses issues related to the priority to be

given to security interests in IP with respect to other assignments, licences, or security interests as well as the enforcement of a security interest in IP. Security interests in IP can be recorded in an IP-specific register. Upon creation, a security interest in IP

becomes effective against third parties regardless of their knowledge, except for

security interests with respect to copyright, where no specific register exists. Such a recordation gives a presumption of priority over all competing parties regardless of their knowledge. However, under the applicable law, security interests in IP do not include the proceeds realized from the exercise of the IP, such as license fees,

equitable remuneration, royalties or other compensation. If IP subject to a security interest is infringed by a third party, the applicable law stipulates that the parties enjoy the autonomy in their agreement to determine the right to take legal action.

25.In Greece,security interests in IP and related issues are covered by a mixture of

national IP laws and other laws, except for security interests in patents and industrial designs. A Presidential Decree (PD ,456/84 and 503/85), coupled with national IP laws, cover issues such as the creation or granting of security interests in IP, the

method for making them effective against third parties, the priority to be given to

them with respect to other assignments, licenses, or security interests, as well as their enforcement. Security interests in IP can be recorded in an IP-specific register to

become effective against third parties, except for security interests with respect to

copyright, for which no register exists. Such a recordation gives priority over all

competing parties regardless of their knowledge. A security right in IP includes the proceeds realized from the exercise of the IP, such as license fees, equitable

remuneration, royalties or other compensation. If IP subject to a security interest is infringed by a third party, the applicable law allows the secured creditor to take legal action to preserve the value of its security, either alone or in conjunction with the IP

owner in order to collect damages, seek an injunction or both. The applicable law also stipulates that the parties enjoy the autonomy in their agreement to determine the right to take legal action.

26.In Ireland,security interests in IP and related issues are covered by a mixture of

national IP laws and other laws. The creation or granting of security interests in IP, the method for making them effective against third parties, the priority to be given to them with respect to other assignments, licenses or security interests, and their

enforcement are all covered by national IP law, with an exception of security interests with respect to copyright, which are addressed by other laws. Under the applicable law, security interests in IP can be recorded in an IP-specific register, except for

security interests in copyright, for which no register exists. (Note, the response for this country did not address all questions.)

27.In Israel,security interests in IP and related issues are covered by a mixture of

national IP laws and other laws. Mortgage Law, Company Law and national IP laws are the principle pieces of legislation with provisions addressing issues such as the creation or granting of security interests in IP, the method for making them effective against third parties, as well as the priority to be given to them with respect to other assignments, licences or security interest, and their enforcement. Security interests in IP can be recorded in an IP-specific register, except that security interests with respect to copyright must be recorded on another type of register. Recordation is necessary to give effect against third parties, and gives priority over all competing parties

regardless of their knowledge of the security interest. If IP subject to a security

interest is infringed by a third party, the applicable law does not allow the secured creditor to take legal action to preserve the value of its security.

28.In Italy,the Italian Copyright Office is responsible for the General Public Register of

works protected as established by Article 103 of Law No. 633 of April 22, 1941.

Under Article 2 of Law No. 633, protection extends to printed works, sculpture,

painting, drawing, engraving and similar figurative arts, including scenic art, even where works are applied to industrial products (if their artistic value is distinct from the industrial character of the product with which they are associated), architectural plans and works, newspapers and magazines, musical works or works suitable for public showing, industrial design works, engineering projects and similar works.

Under Article 99 of the above-mentioned law, in order to exercise his or her right to remuneration, the author must include on the plan or drawing a declaration of

reservation of the right and must deposit the plan or drawing with the Italian

Copyright Office.Under Article 6 of the same law, in conjunction with Article 2576 of the (Italian) Civil Code; “copyright shall be acquired by creation of a work

resulting from an intellectual effort” and under Article106 of Law No.633; “failure to deposit shall not prejudice the acquisition or exercise of copyright in respect of works under the provisions of Part I of this law, or under the provisions of international

conventions [...]”. Moreover, under Article 106 of the above-mentioned law; “At the instance of the interested party, legal instruments executed between living persons, transferring in whole or in part rights recognized by this law, or establishing rights of enjoyment or guarantee thereof, as well as instruments serving to divide or to

associate such rights, may also be registered in the form prescribed by the Regulations.

Such registration shall also have such legal or administrative effects as the provisions of this Law or other special laws accord to registration”. The registration of the

instruments of transfer is one of the elements in proof of their date, under Article 2704 of the (Italian) Civil Code.

29.In Japan,security interests in IP and related issues are covered by a mixture of

national IP laws and other laws, such as the Japanese Civil Code, which makes some provision for the creation or granting of security rights. IP laws address issues related to the method for making the security interest effective against third parties and the priority to be given to them with respect to other assignments, licences or security interests; whereas the enforcement of security interests is dealt with by the Japanese Civil Execution Act. Under the applicable law, security interests in IP can be

recorded in an IP-specific register to become effective against third parties. Such recordation gives priority over all competing parties regardless of their knowledge of the security interest. A security interest in IP includes any proceeds realized from the exercise of the IP such as license fees, equitable remuneration, royalties or other

compensation. If IP subject to a security interest is infringed by a third party, a

secured creditor is permitted to take legal action alone to preserve the value of its security, to collect damages, seek an injunction or both. However, there is no

provision addressing whether the debtor and secured creditor would have the

autonomy to determine in their agreement the right to take legal action.

30.In Kazakhstan,security interests in IP and related issues are not covered by national

IP laws, but only by other laws which address issues such as the creation or granting of security interests in IP, the method for making them effective against third parties and their enforcement. Under the applicable law, security interests in IP can be

recorded in any register although, upon their creation, they are considered to be

effective against third parties. Such a recordation has no effect over competing

parties. Security rights in IP do not include the proceeds realized from the exercise of the IP, such as license fees, equitable remuneration or security interests. If IP subject to a security interest is infringed by a third party, the relevant provisions provide that the secured creditor can take legal action alone to preserve the value of its security and, in doing so, the secured creditor may either collect damages, seek an injunction or both. The debtor and secured creditor have the autonomy to determine the right to do so in the agreement.

31.In Kenya, security interests in IP and related issues are covered by a mixture of

national IP laws and other laws. The Kenyan Industrial Property Regulations 2002, and in particular Regulation 30 on Patent Law, address issues such as the creation or granting of security interests in IP, whereas the methods for making security interests effective against third parties, the priority order to be given and their enforcement are not addressed by any provisions of law.

32.In the Republic of Korea,security interests in IP and related issues are covered by a

mixture of national IP laws and other laws. In cases where IP subject to a security interest is infringed by a third party, the Korean Copyright Act provides for the

method for making a security interest in IP effective against third parties, whereas the creation or granting of security interests, as well as the priority to be given to them with respect to other assignments, licenses or security interests and the enforcement of security interests in IP are all covered by the Civil Act. Under the applicable law, security interests in IP can be recorded in an IP-specific register to become effective against third parties. Such recordation gives priority over all competing parties

regardless of their knowledge. A security right in IP includes all proceeds realized

知识产权 调查问卷

您好!这是一份关于大学生使用侵犯知识产权商品(文化传播领域范围)现状的调查。希望能借用您宝贵的2分钟,认真填写,吾将不胜感激!您不必担心资料外泄,我们采用匿名形式,只需要您对问题坦诚相告即可。 以下“侵犯知识产权的商品”简称侵权商品 1.您在生活中曾经购买或使用过以下几种侵权 知识产权的商品吗?(多选题) □图书(纸质)等出版领域,例如盗版图书 □电子图书、mp3、文章等网络文化传播领域,例如百度文库、免费下载歌曲□CD、DVD等电子音像领域,例如盗版CD □电脑应用软件、游戏等电脑程序领域,例如盗版游戏光盘、直接从网上下载□其他 2.您购买或使用侵权产品的频率高吗? ○从不○偶尔○经常○一直 3. 您觉得侵权商品与您的日常生活的关系呢? ○必须消除○比较重要 ○可有可无○完全离不开盗版 4. 促使您购买或使用侵权商品的因素有什么?(多选题) □价格便宜 □大家都在用 □盗版比正版早上市 □销售点多,购买方便 □内容丰富,覆盖面广 □已经习惯用侵权商品了 □购买过程中受欺骗,误以为是正版 □正版商品售后服务形同虚设,干脆买盗版 □其他________________ 5. 您认为侵权商品的质量可以信赖吗? ○一般,但是尚且可以使用 ○很好,可以与正版媲美 ○很差 6. 使用过侵权商品后的感觉是什么? ○感觉质量像正品 ○感觉质量不怎么好,但也值这个价格,不后悔买 ○感觉质量不怎么好,但没有想要的高质量,宁愿买正品 ○感觉质量很差,不值这个价格,但也不会去买正品,但仍会继续卖侵权商品 ○感觉质量很差,不值这个价格,宁愿买正品 7. 您对侵权商品现状的态度是什么? ○坚决抵制 ○可以接受,但不赞同 ○很好,乐于接受,也经常购买 8. 在你心中,如何看待只是产权侵权这种现象? ○没什么大不了 ○违法法律,应严厉加以取缔 ○活跃了市场经济,应该得到鼓励 ○给了消费者更大的选择空间,提供了更高的性价比 ○其他 10. 您在使用侵权商品过程中,是否意识到自己行为与“知识产权侵权”有所联系? ○完全没有意识 ○充分意识到,下次一定不用(买)侵权商品 ○意识到这么做是不太好,但不觉得会有什么错 ○意识到这是在助长知识产权侵权行为,但觉得自己一个人也没多大影响 ○其他________________ 11. 您认为侵权商品队社会的危害有哪些?(多选题) □没什么危害 □扰乱市场秩序 □违背社会道德与法律 □侵犯正版的知识产权 □侵害消费者的合法权益 □一般侵权商品不受监管,内容不健康 □侵权商品不仅没有危害,反而促进了人们的文化生活 □其他 请选择您的基本信息 1.性别○男○女 2.年级○大一○大二○大三○大四 3.专业______

高科技企业调查问卷[1]

新材料企业知识产权状况调查问卷企业名称: 企业地址: 知识产权负责人:工作部门: 职务/职称:联系电话: 电子邮箱:

一、企业基本情况调查 1. 企业资产规模:E A.50亿元以上 B.10-50亿元 C.1-10亿元 D.5000万-1亿元 E.1000- 5000万 F.500-1000万 G.500万以下 2. 企业法律形式和股权类型: D ② A.国有独资 B.有限责任公司→(是否为国有控股:①是②否) C.集体企业 D.股份有限公司 →(是否为国有控股:①是②否) E.联营企业 F.三资企业→(①中外合作②中外合资③外商独资) G.股份合作企业 H.私营企业 I.其他 3. 企业主要经营新材料产业的下属哪些领域(可多选): A.新金属材料 B.高分子复合材料 C. 精细化工材料 D.生物及医用材料 E. 新型功能材料 F.其他 企业主打产品有(不少于两种产品) 4. 企业全年产品销售总收入 0.6 亿元,其中包含专利技术的产品销售收 入约为 0.5 亿元,约占总销售额的 83 %;

A.有 B.没有 如果有,贵企业与科研机构的合作方式是:(限选三项) A.直接转化科研院校的技术成果 B.与科研院校联合进行技术开发 C.聘请院校专家为顾问 D.利用科研院校的仪器设备 E.雇佣科研院校学生或研究人员在企业做兼职F 科研院校为企业提供各 种培训 G.其他(请说明:) 如果没有,原因是:(限选三项) A.科研院校技术不成熟,科研能力有限 B.科研院所的研发成果与市场需求存在差距 C.科研院校积极性不高 D.企业与科研院校利益分配不合理 E.企业在合作中主动权太小 F.沟通不畅,不知道科研院校能提供哪些技术或服务 G.其他(请注明:) 二、企业知识产权概况 10. 企业目前拥有以下哪几种形式的知识产权(可多选): A.专利 B.商标 C.版权(包括软件著作权) D.厂商名 称 E.地理标志(包括货源标记与原产地名称) F.技术秘密 11. 企业专利申请及授权情况: (1) 企业申请国内专利数量件(其中国内发明申请件,实用新型 申请件,外观设计申请件), 申请国外专利数量件; (2) 企业国内专利授权总量件(其中国内发明授权件,实用新 型授权件,外观设计授权件),国外专利授权数量件; (3) 引进专利件,其中国外专利引进件; (4) 企业是否有非专利技术(技术秘密)加以保护? A.是 B.否 12. 企业是否委托专利事务所等中介机构撰写专利申请文件? A. 是 B.否 13. 企业是否进行国外专利的申请? A.是 B.否 14. 企业申请国外专利中遇到的困难有(可多选): A.对目的国的相关专利制度不了解 B.国外专利局的审查周期过长 C.国外专利官费(申请费用和权利维护费用)过高 D.国外专利代理费用过高 E.其他 15. 企业就产品与工艺流程申请专利中,产品申请专利件;工艺流程 申请专利件。

中华人民共和国国家知识产权局因特网专利数据库及其检索[2006(4 ...

中华人民共和国国家知识产权局因特网专利数据库及其检索 专利文献部赵欣 一、基本情况 中华人民共和国国家知识产权局网站是国家知识产权局支持建立的政府性官方网站,提供中、英两种版本。在2006年4月底进行全新改版后,增加了很多新的功能。中文版的中国专利检索数据库收录了1985年9月10日以来公布的全部国家知识产权局专利信息,包括发明、实用新型和外观设计三种专利的著录项目及摘要,并可浏览、下载和打印各种说明书全文及外观设计图形。该数据库由国家知识产权局知识产权出版社开发建立并维护,每周更新一次。同时,中华人民共和国国家知识产权局网站还提供和专利相关的多种信息服务,如近期专利公报的查询、专利证书发文信息查询、代理机构查询、法律状态查询、收费信息查询等。还可以链接到其它国家和地区的专利数据库。需要注意的是,此数据库面向公众提供免费专利检索服务。鉴于设备与带宽的限制,建议日浏览或下载专利说明书超过300页的公众访问其他网站或向相关单位订购专利光盘。 本章将介绍中文版国家知识产权局网站主要功能及中国专利检索数据库和法律状态查询。 二、主要功能 在Internet Explorer(浏览器)地址栏中键入网址:https://www.doczj.com/doc/3818145507.html,.,即可进入中华人民共和国国家知识产权局网站。在网站主页上可查看要闻、通知、国外和地方的知识产权动态等。 网站主页左侧有“文献服务”的链接,点击进入可以查看各项与专利文献有关的内容,包括文献与信息知识、文献与信息标准、国际专利分类表等。公众还可在文献与信息培训栏目中查看专利文献部面向社会公众的免费培训讲座信息,并可报名参加定期在专利文献馆举办的专利知识免费培训。 “文献服务”的链接下面有“图书期刊”的链接,点击进入可查看知识产权图书、知识产权期刊、专利公报和年报。 在“知识讲座”的链接下可看到一系列有关专利的知识问答,帮助公众了解相关专利知识及政策法规。 在页面右侧的中部可以看到“中国专利检索”栏,可以在“关键字”中输入检索式,选择相应的“检索项目”进行检索。 “中国专利检索”栏右侧还有“高级检索”的链接按钮,点击可进入相应的“专利检索”的页面。“专利检索”页面右侧有“IPC分类检索”、“本网站免责声明”、“数据库内容”、“注意事项”、“使用说明”、“说明书浏览器下载”的链接,供用户了解可供检索的数据库的内容,使用数据库及检索时应注意的事项,进行分类号与其他字段的组配检索。 在“中国专利检索”栏下点击“国外及港澳台专利检索”的下拉菜单,可直接进入国外政府网站及港澳检索数据库。 主页右下角有专利证书发文信息查询、代理机构查询、法律状态查询、通知书发文信息查询、收费信息查询、事务性公告查询、咨询台、意见反馈、年费计算系统等九项功能图标,

【调研问卷模板】知识产权问卷调查

【调研问卷模板】知识产权问卷调查 1. 您对知识产权及相关国家政策的了解有多少? 较深 略懂 听说过 不了解 2. 请分别写出您对正版物品和盗版物品的看法? 正版 ____________ 盗版 ____________ 3. 您知道知识产权的定义吗? 智力成果权 无形财产权 基于创造性智力成果和工商业标记依法产生的权利统称以上都是 4. 您是否使用过以下盗版产品? 盗版光碟 盗版书籍 网上免费的电影、音乐、小说等 山寨手机 假名牌 其他 无 5. 您对盗版有什么看法? 物美价廉,赞同

非法,坚决抵制 好用就行,支持 虽然非法,但是低价位高效果才是硬道理 非常纠结 盗不盗版,不关我事 6. 你认为盗版有害于您的生活吗? 有害无益 有益无害 有害有益 7. 您购买盗版的原因是什么? ____________ 8. 您认为网络音乐和视频分享及免费下载是否归类为盗版?是 否 不清楚 9. 您购买过正版物品吗? 买过 没买过 10. 您认为是否应该打击盗版、杜绝盗版,全力支持正版?是 否 与我无关 11. 您听说过下列哪些? 《保护工业产权巴黎条约》 《专利合作条约》 《商标国际注册马德里协定》

《世界版权公约》 《保护文学和艺术作品伯尔尼公约》 世界知识产权组织(WIPO) 世界知识产权日 都没听说过 12. 您认为正版与盗版中,哪个价值大? 正版 盗版 13. 您认为侵犯知识产权的行为对知识产权拥有人有损害吗? 没有损害 损害非常大 有损害,但不是很严重,可以不计较 14. 您认为中国政府、法律对盗版产品的打击力度足够吗? 足够 不够 不清楚 15. 某些人认为正版与盗版的区别不会影响物品本身,而价钱和实用性(即性价比)才是决定因素。您赞同吗? 赞同 不赞同 16. 盗版的本质就是偷窃,盗版物品就是一种赃物。您认为对购买盗版物品者应否施加惩罚? 应该 不应该 17. 您认为打击盗版主要依靠?

国家知识产权专利检索

竭诚为您提供优质文档/双击可除国家知识产权专利检索 篇一:专利检索 关于专利检索相关问题的研究 一、意义 二、检索方法 三、多重价值 四、世界专利 五、检索系统 六、快速检索 七、高级检索 八、号码检索 九、途径 概念 专利检索就是根据一项或数项特征,从大量的专利文献或专利数据库中挑选符合某一特定要求的文献或信息的过程。对于企业的成长,对于全球生产力的节省与提高,是有举足轻重的作用的。

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