【作者】 郭济环；

【导师】 柳经纬；

【作者基本信息】 中国政法大学 ， 比较法， 2011， 博士

【摘要】 本文以目前国家发展的两大战略因素“标准”与“专利”为考察对象,以两者的融合、冲突与协调为主线,站在国家实施标准化战略的高度,以有效把握和利用好标准与专利融合的新趋势和发展的新契机为目标,从标准与专利融合的历史发展、冲突产生的根源、各方利益的平衡、国内外制度和现有冲突协调机制的比较分析等入手,进而构建既符合我国国情又与国际惯例相协调,兼具公平和效率的标准与专利冲突协调处理框架,并对我国实质性参与国际标准化活动,应对以专利标准全球化为主要特征的全球标准竞争提出具体的政策建议。本文除导论和结论外,分为六章。导论提出本文的选题意义、研究对象、目前研究的现状及本文创新之处、研究方法等。通过阐释国家实施标准化战略的重要意义以及对《国家标准化战略纲要》、规范专利纳入标准行为的相关法律规定迟迟难以出台的追问和反思,提出本文以标准与专利的融合、冲突与协调为研究对象的意义。通过对目前研究现状的分析,突出本文在选题、研究角度和研究方法上的创新之处。第一章“标准与专利的融合”,对标准与专利制度产生、发展、融合的历史过程进行梳理,分析标准与专利融合的必然性和动因,指出标准与专利的融合是趋势。分为四节。第一节阐述了标准的定义,指出本文研究的标准是狭义标准,即技术标准;总结了标准产生和发展三个阶段的特点,梳理了标准从古代手工业技术活动中累积的制作经验到现代成为促进科技创新成果产业化、提高国际竞争力的有力武器的发展演变过程,指出统一性、规范性、技术性和通用性是标准的天然属性。第二节梳理了专利制度从君主钦赐的垄断经营特权到可许可的独占性民事权利再到推动技术创新的重要工具的演变过程,指出垄断性、独占性和私有性是专利权的本质属性。第三节介绍了国际和国内标准与专利融合的基本情况,特别是我国从无意识的盲从到主动并有意识促成两者融合的发展过程。第四节分析标准与专利在知识经济时代融合的必然性和主客观因素,指出标准与专利的融合是科技和经济社会发展的必然结果,标准与专利本身的属性及各自在技术和社会发展中作用的不断凸显,为两者的融合奠定了基础,而各国标准化战略的实施则推动和加速了两者的融合,使其成为世界经济发展的新趋势和新动力。第二章“标准与专利融合产生的冲突”,论述标准与专利融合后产生的各种冲突的表现形式,指出标准与专利的冲突是影响和制约融合发展的问题。分为三节。第一节从标准与专利的本质属性入手,分析了两者融合后因公私界限混淆而产生的专利私权属性和标准公共属性、垄断属性和统一属性以及各自保护手段上的冲突。第二节从现实案例入手,分析标准与专利融合后产生的各种利益冲突,包括公共利益与个人利益的冲突、个人利益之间的冲突以及国家利益之间的冲突。第三节从法理学的角度,分析了标准与专利融合后在法价值方面产生的各种冲突,强调了效率对于中国这样一个后进国家在应对标准与专利融合的冲突,加快自身发展方面的重要性。通过对各种冲突的详细论证,指出所有冲突的核心是利益的冲突,突出了在解决标准与专利冲突问题上进行利益平衡的重要性。第三章“标准与专利冲突协调机制的原则”,分析了对标准与专利冲突进行利益平衡的必要性及具体原则和方法。分为三节。第一节论述了利益平衡的定义,强调利益平衡是对利益进行确认、选择和衡量的过程,是一项立法原则、一项法律适用原则也是一种相对完美的法律状态。第二节阐释了对冲突进行利益平衡协调的必要性,指出利益平衡是法律调整利益关系的有效手段,是专利制度和标准化制度的核心价值,是解决标准与专利冲突的客观需要。第三节分析了对冲突进行利益平衡协调的原则和方法。指出要以利益平衡为手段,通过对利益进行正义评价,尊重每个利益主体的主体资格及其利益追求,构建以社会利益优先、公权力适当介入、合理权利限制为主要原则,兼具激励和制约双重功能的冲突协调机制。第四章“标准与专利冲突协调机制的模式”,从事前、事中、事后三个层面,对国外冲突协调机制进行了详细阐释和利弊分析。分为三节。第一节分析介绍了世界主要标准化组织的专利政策模式,指出该模式是在标准化组织内部的冲突协调机制,是专利许可使用和反垄断审查模式的前提和依据,不排斥必要专利原则、专利信息披露原则、专利许可使用原则和不介入原则是专利政策的主要内容。第二节分析介绍了专利法领域的专利许可使用模式,指出该模式解决的是标准中涉及专利的使用问题,分析了现有各种许可方式在解决标准与专利冲突问题上的利与弊。第三节分析介绍了国外反垄断审查模式的具体内容,指出该模式是美国和欧洲发达国家解决标准与专利融合后知识产权滥用问题的主要手段,是相对复杂的事后救济措施。第五章“我国标准与专利冲突协调机制的构建”,指出冲突协调机制是解决方案,并对我国冲突协调机制的具体构建进行了全面阐释。分为三节。第一节从分析介绍我国反垄断法、标准化法、专利法以及司法判例中关于标准专利问题的相关规定入手,得出我国目前冲突协调机制缺失的结论。第二节深入分析我国冲突协调机制缺失和难产的深层原因,全面剖析我国与国际标准化组织、发达国家在标准属性、标准化管理体制、标准形成路径等方面的特殊性和差异性,指出构建具有中国特色的冲突协调机制的必要性和紧迫性。第三节从效率优先、利益平衡以及立足国情的角度出发,提出了以建立专利信息披露制度、建立公平合理的专利许可价格协商机制、针对强制性标准和推荐性标准构建不同协调机制为主要内容的标准与专利冲突协调机制的具体构建建议。第六章“实施国家标准化战略,积极应对标准与专利融合新趋势”。从主要发达国家标准化战略的对比分析入手,对我国积极参与以专利标准全球化为主要特征的全球标准竞争提出具体的政策建议。分为三节。第一节选取欧盟、美国、德国和日本标准化战略进行简要介绍和对比分析,得出各国战略的核心内容是实现专利技术的标准化和国际化。第二节从分析国际标准的重要作用和卓越影响力入手,指出在经济全球化条件下,在标准与专利融合的大背景下,国家之间的全球标准竞争愈演愈烈,并呈现出专利标准国际化的全球竞争新特征。第三节结合国情,提出我国实施标准化战略、参与全球标准竞争的具体建议。包括调整战略目标和策略,形成和完善冲突协调机制、政府联动、企业主动、科研结合的工作机制,以战略性新兴产业国际标准的制修订和国际统一规则的制定为竞争重点,加快提前布局,在全球标准竞争中抢得先机。结论对本文进行最终的总体总结,指出自主创新技术的标准化、产业化、国际化是国家标准化战略的核心目标,对内构建冲突协调机制是实现战略目标的重要手段,对外积极参与全球标准竞争是实现战略目标的关键。冲突协调机制是对现有法律制度的调整和优化,要以《标准化法》的修改为契机,增设专利信息披露制度,赋予相关各方充分、及时、全面披露其知晓专利信息的义务,明确违反义务的法律后果;扩展标准制修订程序的相关规定,对强制性标准和推荐性标准设置不同的专利许可协商机制。参与全球标准竞争是对国际标准制修订和统一规则的话语权的争夺,要以“积极参与、重点突破”为策略,完善各项政策措施,调动全社会力量,加快重点布局,在全球标准竞争中抢得先机,全面实现国家标准化战略目标,整体提升国家经济社会发展的综合实力。更多还原

【Abstract】 This dissertation takes standards and patents, which are two strategic factors for current national development, as the subject of the present study. From national strategy of implementation of standardization perspective, it takes the integration, conflict and coordination of the two factors as the major line, introduces the historical development of the integration of standards and patents, the confirmation and balance of various parties’ interests and comparatively analyzes systems at home and abroad and the current conflict coordination mechanisms, thus constructs a framework which is not only in coordination with our national situation and international conventions but also effective to handle the conflict of standards and patents on the basis of equality and efficiency. Furthermore, it proposes specific policy suggestions for how to substantially get involved in international standardization activities and face the challenge of global standards competition which is characteristic of globalization of patented standardization.In addition to introduction and conclusion sections, this dissertation consists of six chapters.The introduction section introduces the significance, the subject, the current status as well as research methods and innovation of the present study. It explains the significance of our national strategy of implementation of standardization and provokes questions and reflection on the delay of the issue of Strategic National Standardization Guidelines and relevant laws and regulations on fitting standard patent into standard behavior. Then it proposes the significance of the present study which takes the integration, conflict and coordination of technical standards and patent as the study subject. Through the analysis of the current status of research, it illustrates what is new in the study subject, the study perspective and the study methods concerning the present study.Chapter 1, The Integration of Standards and Patents, introduces the birth and the historical development of the standard and patent systems and how they integrated gradually as they developed. It is divided into four sections. Section 1 explains the definition of standards, pointing out the present study mainly focuses on standards in a narrow sense, that is, technical standards. It summarizes characteristics of three stages of the birth and development of standards, reviews how the standards developed from the accumulation of manufacture experience in ancient handicraft activities and gradually changed into a sharp weapon which greatly benefits the industrialization of scientific and technological innovations and makes more competitive in international competition. Then it points out that uniformity, normativeness, technology and universality are the natural properties of standards. Section 2 reviews how patent system developed from monopolized management privilege granted by a monarchy to a permissible exclusive civil right and at last turned into an important tool which promotes technological innovation. It is pointed out that monopolization, exclusiveness and privatization are essential attributes of the patent right. Section 3 introduces general situation of the integration of standards and patents at home and abroad, especially how China changed from blind obedience to conscious integration. Section 4 points out that the integration of standards and patents is inevitable in the age of knowledge and analyzes what subjective and objective factors have caused it. It indicates that the social and technological development makes the integration of standards and patents inevitable and the properties of standards and patents and their increasingly important roles in social and technological development have laid the foundation for the integration of the two. The implementation of standardization strategy in various countries promotes and accelerates the integration of the two, which has become a new trend and power for economic development of the world.Chapter 2, Conflicts Arising from the Integration of Standards and Patents, focuses on various kinds of conflicts arising from the integration of standards and patents. It consists of three sections. Based on the analysis of essential properties of standards and patents, Section 1 analyzes the conflicts after the integration of standards and patents due to their difference between public and private, between monopolization and uniformity and between different protection measures arise due to the confusion of the line between public power and private rights. Section 2, starting from the analysis of real cases, analyzes such interest conflicts as conflicts between public interests and private interests, conflicts between private interests and conflicts between national interests. Section 3, from the perspective of jurisprudence, analyzes various conflicts in the legal value after the integration of standards and patents. It emphasizes that efficiency is of great importance for China, which is still a backward country, to deal with the conflicts arising from the integration of standards and patents and accelerate the nation’s development. After a detailed analysis of various conflicts, it is proposed that the core of all the conflicts is the conflict between different interests. Therefore, it is especially important to make a balance between different interests in order to settle the problems relevant to the conflicts of standards and patents.Chapter 3, Principles for Conflict Coordinating Mechanism between Standards and Patents, points out that it is necessary to balance various interests when conflicts arises from the integration of standards and patents, and puts forward specific principles and methods for it. Three sections are included in this chapter. Section 1 gives the definition of interest-balancing, emphasizing that interest-balancing is a process of confirmation, selection and evaluation of interests, a legislative principle, a legally applicable principle as well as a relatively perfect legal state. Section 2 explains the necessity of balancing and coordinating interests in the conflicts and points out that interest-balancing is an effective means to legally coordinate interests and that it is the core value of patent system and standardization system and the inevitable need of conflict resolution. Section 3 proposes principles and means for balancing and coordinating interests in the conflicts. It is suggested that interest-balancing should be used as a method to give a justice evaluation of interest and show respect to legal capacity of each party in interest and their seeking for interest, thus a conflict coordination mechanism will be constructed. Such a mechanism gives priority to social interests, permits proper involvement of public power and accepts reasonable authority restriction as a main principle. It is a mechanism that possesses both stimulation and restriction functions.Chapter 4, The Model of Conflict Coordinating Mechanism between Standards and Patents, explains and analyzes the advantages and disadvantages of the current conflicts coordinating mechanisms abroad from the three level of before, during, and after the events. It is divided into 3 sections. Section 1 introduces the patent policy models in main standardization organizations in the world, points out that this model is the conflict coordinating mechanism in the internal standardization organizations. It is the base and the prerequisite to use the patents and anti-monopoly auditing models. The main content of the patent policy includes the principle of not refusing necessary patents, the principle of patent information disclosure, the principle to use the patent license, and the principle of not disturbing. Section 2 analyzes the patent license using models in the patent laws area, points out this model is to provide resolutions on using the patents related to the standards, analyzes the advantages and disadvantages of current licensing methods to coordinate the conflicts between standards and patents. Section 3 analyzes the detailed content of the anti-monopoly auditing models abroad, points out that this model is the main tool for the U.S. and developed European countries to deal with the misuse of the IPR after the integration of standards and patents, which is the relatively complex afterwards relief measure.Chapter 5, Constructing China’s Conflict Coordination Mechanisms between Standards and Patents, points out that the conflict coordinating mechanism is the resolution, and explains the detailed construction method of China’s conflict coordination mechanism. It is divided into three sections. Sections 1 introduces and analyzes China’s antitrust laws, standardization laws, patent laws and relevant laws and regulations concerning the issue of standard patent in judicial precedents, and then it is concluded that China lacks of conflict coordination mechanisms at present. Section 2 gives a detailed analysis of the deep reasons why China lacks of conflict coordination mechanisms and why it is so difficult to build up such mechanisms in China. It thoroughly analyzes the specializations and distinctions between China and international standards organizations and developed countries in standard property, standardization management systems and standard formation paths. It is proposed that the construction of conflict coordination mechanisms with Chinese characteristics is a great necessity and an urgent need. Section 3 starts from the priority of efficiency, interests balance and national situation, makes detailed suggestions to construct the conflict coordination mechanisms between patents and standards, which will set up patent information disclosure system, set up reasonable and fair patent license pricing coordination mechanism, and set up different coordinating mechanisms regarding the mandatory standards and voluntary standards.Charter 6, Implementing National Standardization Strategy, Actively Respond to the New Trend of Combination of Standards and Patent. Through comparatively analyzing national standardization strategy of developed countries, it proposes specific policy recommendations on actively participation of global standard competition, whose main characteristic is globalization of patent standard. There are three sections. Section 1 gives a brief introduction and comparative analyses of EU, USA, German and Japan standardization strategy, gets the conclusion that the core content of their National strategy is to achieve the standardization and internationalization of patent technology. Section 2, through the analysis of the important role and excellent influence of international standards, that under the condition of economic globalization, under the background of combination of standard and patent, the global standards competition between countries become more and more intensive, and shows the new features of global competition through the internationalization of patent standards. Section 3 proposes the specific suggestions on China’s implementation of standardization strategy and participation in global standard competition, considering national condition. The suggestions include to adjust the strategic objectives and strategies, to form and improve the coordination mechanism of conflict, to delop the working mechanism with government interaction, business initiative, and combination of science research, to play a more active and important role in strategic emerging filed and international rules, we should achieve better advantage in global standard competition.The conclusion part is the concluding section of the dissertation. It points out that the standardization, industrialization and internationalization of patent technology is the core target of national standardization strategy .To internally set up the conflict coordination mechanism is the important tool to achienve the strategic goal, and to actively participate in global competition is the key to meet the stragic goal. The mechanism for conflict coordination is the adjustment and optimization for the current legal system. We should start from the revision of the Standardization Law, and set up the patent information disclosure system, so as to make all the related parties could get the patent information fully, timely and comprehensively, and also to know the result of disobeying the obligations. Besides, we should develop more rules on developing and revising the standards, and set up different patent license coordination system about the mandatory and voluntary standards. To participate in global standards competition is to get more speaking right for developing and revising the international standards. We should focus on the active participation and key breakthroughs, to improve the related various policies and measures. We should also gather all the social strengths to fasten the standardization work in key areas, so as to get more opportunities in the global standards competition. We should also implement the stragetic goals of the national standardization work, and overlay improve the comprehensive strength of our national economic and social development.更多还原