簡(jiǎn)述加拿大小實(shí)體聲明

2021-10-15

  文/北京集佳知識(shí)產(chǎn)權(quán)代理有限公司 王靜宇

  

  根據(jù)加拿大專利法實(shí)施細(xì)則第44款的規(guī)定,符合小實(shí)體定義的申請(qǐng)人提交小實(shí)體聲明可以享受小實(shí)體官費(fèi)減免政策。

  加拿大專利法實(shí)施細(xì)則第44(2)款對(duì)小實(shí)體狀態(tài)進(jìn)行了定義,法條原文如下:

  Sub-section 44(2) of the Canadian Patent Rules

  (2) The small entity status condition is that

  (a)in respect of an application for a patent — other than a PCT national phase application or a divisional application — the applicant of the application on the filing date is, on that date, an entity that has 50 employees or less or is a university, other than

  (i) an entity that is controlled directly or indirectly by an entity, other than a university, that has more than 50 employees, or

  (ii) an entity that has transferred or licensed, or has an obligation other than a contingent obligation to transfer or license, any right or interest in a claimed invention to an entity, other than a university, that has more than 50 employees;

 ?。╞)in respect of an international application, the applicant of the application on the national phase entry date is, on that date, an entity that has 50 employees or less or is a university, other than an entity referred to in subparagraph (a)(i) or (ii); and

  (c)in respect of a divisional application, the applicable requirements of this subsection are met in respect of the original application

  根據(jù)該條款描述的內(nèi)容可知,加拿大專利申請(qǐng)中小實(shí)體狀態(tài)是指

  a)對(duì)于非PCT國(guó)家階段申請(qǐng)和非分案申請(qǐng)而言,專利申請(qǐng)的申請(qǐng)人應(yīng)在提交日當(dāng)日企業(yè)的雇員數(shù)應(yīng)不多于50人(包含50人)或者是一個(gè)大學(xué),但是前述申請(qǐng)人應(yīng)不屬于以下兩種情況:

  (i)該實(shí)體被非小實(shí)體的企業(yè)或者非大學(xué)的企業(yè)直接地或間接地控制;

  (ii)該實(shí)體已經(jīng)轉(zhuǎn)讓或許可、或者有義務(wù)(非潛在可能的義務(wù))轉(zhuǎn)讓或許可本發(fā)明專利所主張的任何權(quán)利或利益給非小實(shí)體的企業(yè)或者非大學(xué)的企業(yè)。

  b)對(duì)于PCT國(guó)家階段申請(qǐng)而言,專利申請(qǐng)的申請(qǐng)人應(yīng)在進(jìn)入國(guó)家階段當(dāng)日企業(yè)的雇員數(shù)應(yīng)不多于50人(包含50人)或者是一個(gè)大學(xué),但是前述申請(qǐng)人應(yīng)不屬于(a)(i)和(ii)中所述的兩種情況。

  c)對(duì)于分案申請(qǐng)而言,小實(shí)體狀態(tài)應(yīng)同母案申請(qǐng)保持一致。

  加拿大專利法實(shí)施細(xì)則第44(3)款對(duì)小實(shí)體聲明的要求進(jìn)行了規(guī)定,法條原文如下:

  Sub-section 44(2) of the Canadian Patent Rules

  (3) A small entity declaration must

  (a) be filed with the Commissioner in a document other than the abstract, the specification or the drawings of the application on the basis of which the patent was granted, that identifies the patent to which the declaration relates;

  (b) contain a statement that the patentee believes that the small entity status condition set out in subsection (2) is met in respect of the patent;

  (c) be signed by a patent agent appointed in respect of that patent or by

  (i) if there is a single patentee, the patentee,

  (ii) if there is a single patentee and a document authorizing a foreign practitioner to sign a small entity declaration is signed by the patentee and submitted to the Commissioner at the same time as the declaration, that foreign practitioner,

  (iii) if there are joint patentees, any one of the patentees, or

  (iv) if there are joint patentees and a document authorizing a foreign practitioner to sign a small entity declaration is signed by any one of the patentees and submitted to the Commissioner at the same time as the declaration, that foreign practitioner; and

 ?。╠)indicate the name of the patentee and, if applicable, the name of the patent agent or the foreign practitioner signing the declaration.

  根據(jù)該條款描述的內(nèi)容可知,加拿大專利申請(qǐng)中申請(qǐng)人需要提交小實(shí)體聲明,該聲明的具體要求如下:

 ?。?)若要求享受小實(shí)體折扣,申請(qǐng)人應(yīng)除申請(qǐng)文件外提交一份小實(shí)體聲明;

 ?。?)在小實(shí)體聲明中,申請(qǐng)人應(yīng)聲明其認(rèn)為本企業(yè)的實(shí)體狀態(tài)滿足專利法實(shí)施細(xì)則中所述的小實(shí)體狀態(tài);

  (3)小實(shí)體聲明應(yīng)進(jìn)行簽署,簽署人可以是本專利的專利代理人或者專利權(quán)人(若為共同專利權(quán)人,則為任何一位)或者專利權(quán)人(若為共同專利權(quán)人,則為任何一位)授權(quán)的外國(guó)執(zhí)業(yè)人員;

 ?。?)小實(shí)體聲明上應(yīng)寫明專利權(quán)人的名稱、或簽署該聲明的專利代理人姓名或者獲得授權(quán)的外國(guó)執(zhí)業(yè)人員的姓名。

  對(duì)于上述兩項(xiàng)條款而言,加拿大專利法實(shí)施細(xì)則第44(2)款對(duì)于“直接地或間接地控制”以及“有義務(wù)(非潛在可能的義務(wù))”并沒(méi)有準(zhǔn)確的定義,因此對(duì)于申請(qǐng)人來(lái)說(shuō),并不能很好地把握什么樣的情況下屬于直接地或間接地被大實(shí)體企業(yè)控制,是控股公司?還是子公司?有義務(wù)轉(zhuǎn)讓和許可,指的是有雙方有協(xié)議約定還是別的原因。這些都有待商榷,而目前實(shí)踐中也沒(méi)有很好的指引。加拿大專利法實(shí)施細(xì)則第44(3)款的規(guī)定是要求在簽署小實(shí)體聲明時(shí),必須要列明簽署人的身份和姓名,且必須有專利申請(qǐng)人的授權(quán)。另外,細(xì)則規(guī)定中并沒(méi)有規(guī)定提交小實(shí)體聲明的期限,且提交小實(shí)體聲明后才能享受小實(shí)體折扣,若在提交小實(shí)體聲明時(shí)已經(jīng)按照大實(shí)體標(biāo)準(zhǔn)繳納的官費(fèi),那么該筆官費(fèi)是不能返還的。

  和美國(guó)不同,加拿大的小實(shí)體狀態(tài)是在提交申請(qǐng)時(shí)(對(duì)于PCT進(jìn)入國(guó)家階段的申請(qǐng)而言,為進(jìn)入國(guó)家階段時(shí))確立的,一經(jīng)確立則無(wú)需修改,即使在提交分案申請(qǐng)時(shí),也是根據(jù)母案申請(qǐng)日時(shí)確立的實(shí)體狀態(tài)來(lái)繳納官費(fèi)。也就是說(shuō),即使一家企業(yè)在提交加拿大申請(qǐng)時(shí)只有20位雇員,但是稍后申請(qǐng)過(guò)程中壯大成了500人以上的大企業(yè),那么在繳納加拿大官費(fèi)時(shí)仍可以按照提交時(shí)的小實(shí)體狀態(tài)來(lái)繳納。錯(cuò)誤的實(shí)體狀態(tài)聲明可能會(huì)使最終獲得的加拿大專利權(quán)被視為無(wú)效。加拿大專利申請(qǐng)程序中沒(méi)有特定程序來(lái)糾正和修改加拿大的小實(shí)體狀態(tài)的,這就意味著一旦申請(qǐng)人聲明的小實(shí)體狀態(tài)有誤,那么就只能基于審查員的自由裁量權(quán)來(lái)訂正或者修改小實(shí)體狀態(tài)了,而實(shí)踐中尚沒(méi)有是否批準(zhǔn)訂正或修改小實(shí)體狀態(tài)的指引。因此,在申請(qǐng)人無(wú)法確認(rèn)企業(yè)是否屬于加拿大專利法實(shí)施細(xì)則中規(guī)定的小實(shí)體狀態(tài)時(shí),建議按照大實(shí)體標(biāo)準(zhǔn)繳納官費(fèi)。 和美國(guó)一樣,加拿大的小實(shí)體官費(fèi)折扣率也是50%,另外,加拿大沒(méi)有更低的微小實(shí)體折扣。鑒于加拿大小實(shí)體狀態(tài)在申請(qǐng)后不易訂正和修改,且加拿大官費(fèi)本身就不高,減免的費(fèi)用實(shí)際上也不多,簽署并遞交小實(shí)體聲明又將產(chǎn)生一筆額外的當(dāng)?shù)厥聞?wù)所服務(wù)費(fèi)。因此,提交小實(shí)體聲明并要求享受小實(shí)體折扣,在加拿大專利申請(qǐng)中可能并不劃算,還可能承擔(dān)不必要的風(fēng)險(xiǎn)(因小實(shí)體狀態(tài)有誤而使得專利被視為無(wú)效),因此在加拿大申請(qǐng)中建議申請(qǐng)人謹(jǐn)慎提交小實(shí)體聲明。

  加拿大小實(shí)體官費(fèi)與大實(shí)體官費(fèi)標(biāo)準(zhǔn),對(duì)比如下(2022年1月1日起,加拿大官費(fèi)普降0.2%):

  

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