【作者】 李嘉；

【导师】 朱榄叶；

【作者基本信息】 华东政法大学 ， 国际法， 2012， 博士

【摘要】 技术标准是工业生产中最佳秩序的体现，是产品交流的“公共语言”，经济全球化及分工全球化使具有产品信息“连接点”功能的技术标准成为开启世界贸易的钥匙。上世纪90年代以来，蓬勃发展的信息技术产业给技术标准和国际贸易带来了新的挑战，信息产业领域产品互联互通的要求使兼容性技术标准的制定成为实现产品互操作性的必要条件，这类技术标准在制定上往往先于产品出现，在经济效果上具有强大的网络效应，而信息产业累积创新的研发模式致使大量专利聚集，形成“专利丛林”。知识经济背景下，具有私权性质的专利进入具有准公共产品性质的技术标准已不可避免，专利标准化现象由此而生。专利标准化使专利权人可能通过专利从上游掌握产业链，标准中的专利权人、实施标准的生产商、消费者之间的利益博弈通过国际贸易平台进一步激发，席卷全球的专利大战，专利技术输出国与专利技术输入国之间的关系紧张，技术后进国家的自我创新要求与TBT协定下实施现有国际标准之间的冲突即为明证。平衡标准专利权人、标准实施人及消费之间的利益是解决专利标准化问题的关键，方法是规制专利权人滥用权利，路径是在标准制定阶段及标准实施阶段合理规范专利权人的行为。本文以此思路为线索从国际法、国内法两个层面，公法与私法两个层次，合同法、专利法及反垄断法三个法域对专利标准化问题进行了较为全面的研究。在研究中，本文借用了经济学基本概念及理念作为分析依据，并在研读大量涉及专利标准化案例的基础上归纳出问题的共性，并提供解决思路。本文包括导论、正文和结语三个部分，共六章，其主要内容依次为：第一章“技术标准的基础理论及相关国际法律制度概述”，本章首先介绍了技术标准的基础理论，包括技术标准的概念、历史及类型，继而分析了技术标准的准公共物品性，重点分析了WTO法律框架下的技术标准法律制度。本章的要点包括：其一，技术标准尤其是兼容性技术标准及减少多样性的技术标准在经济上具有网络外部性并可能产生技术锁定后果。其二，鉴于技术标准的准公共物品性，政府有义务适当介入标准供给；其三，WTO法制下的TBT协定是唯一规制技术标准与国际贸易的国际协议，2000年WTO技术贸易委员会关于制定国际标准的六项原则：透明度、开放、公正、协商一致、有效且相关、连贯一致在实际上被成员视为制定国际技术标准的基本原则。第二章“专利与专利标准化引发的法律问题”，文章首先介绍了专利的概念及历史发展，指出了专利权的私权属性，继而分析了专利标准化现象的成因和内涵，阐释了专利标准所涉及的两个相关问题——专利联盟和必要专利，最后归纳了专利标准化现象引发的法律问题的类型。本章的要点包括：其一，专利权作为私权通过TRIPS协定已得到国际社会的认同；其二，知识经济背景下在以信息领域为代表的知识聚集产业，专利标准化已成产业发展趋势，“专利标准化、标准许可化”成为信息产业企业追求的发展模式，标准化已成为企业甚至国家的战略发展重点。其三，技术标准往往与专利联盟共生，专利联盟是避免专利费累加、降低交易成本的解决方法，有利于提高经济效率，促进社会福利，但也有限制竞争之虞。其四，确保必要专利进入技术标准是防范专利权人利用技术标准限制竞争的重要措施，必要专利认定的核心要素是技术要素；其五，专利标准化现象下，专利权人可能通过技术标准这一准公共设施获得市场优势，并滥用其专利权限制竞争，从而产生专利阻抑现象，也可能出现专利权人在标准实施中滥用其市场优势限制竞争，损害社会经济效益、减损消费者福利。第三章“专利标准化问题在国际层面的法律制度及探讨”。本章分为两个部分，一是在TBT协定下讨论专利标准化问题；二是在TRIPS协议下讨论专利反竞争行为的国际法律规制。本文先由WAPI事件为引，介绍了WAPI事件在WTO/TBT协定下引发的相关争议，并指出专利标准化是WAPI事件产生的动因。认为TBT协定规定成员承担实施国际标准的实施义务，但却无视专利标准化问题，两者之间在立法上出现了断层。鉴于TBT协定规范技术标准制定、采用和实施的国际地位，本文建议将已为大多数标准制定组织认可的在标准制定中的事先披露专利信息原则和FRAND原则，以CTBT决议的形式引入TBT协定，作为制定国际标准的“第七原则”，并推荐标准化参与人选择WIPO的ADR争议解决模式作为标准制定中的争议解决方式，实现争议的快捷、专利的解决，并建立起WIPO与WTO下的CTBT之间关于专利标准化问题的信息交流体制，以逐渐澄清标准制定中知识产权政策的模糊地带。本章第二部分，从专利反竞争行为的国际法规范这一角度，分析了TRIPS协定下涉及专利反竞争规制的第7条、第8条、第31条、第40条。并认为TRIPS协定下的专利反竞争条款根植于贸易有关的知识产权体系的背景下，存在先天不足，专利反竞争行为的相关的立法较为零散，未形成体系，也没有涉及到专利竞争执法的核心问题，基于竞争法本身的执法特点及美国在竞争国际立法上的不合作态度，竞争法的国际协作前景并不乐观，因此对专利标准化问题中专利权法人的反竞争行为的控制主要还是由各国家及地区国内法加以规范。第四章“专利标准化问题的私法救济”。本章从合同法和专利法角度探讨了专利标准化问题的私法解决途径。合同法部分分析了标准制定组织的知识产权政策中要求技术标准必要专利持有人的FRAND许可承诺的法律性质，并介绍了各标准制定机构的知识产权政策的改革趋势，认为更完善、更规范、更具体、更具拘束力和可执行力的知识产权政策是防范专利阻抑现行的主要措施。在专利法救济部分，本文重点介绍了涉及专利标准化的专利诉讼中，被诉侵权人常用的四种抗辩理由：懈怠、禁止反言、反欺诈、弃权。并指出衡平法的抗辩措施具有可灵活使用的优点，但也存在证明责任上要求较高，且涉讼费用过大的缺陷。本章最后重点介绍了美国的专利滥用抗辩制度，专利滥用抗辩制度在实践中形成了杠杆审查及反托拉斯审查双重机制，但最新的案例显示，美国法院在专利滥用抗辩的适用上逐渐趋严。第五章“专利标准化问题的公法规制——以反垄断法为视角”，本章重点讨论了反垄断法对专利标准化的规制问题。文章首先分析了反垄断规制专利标准化问题的必要性，指出鉴于反垄断法与专利及技术标准在追求的终极目标上的一致性，以及反垄断法执法的灵活性及其执法原则，反垄断法在规制专利标准化问题上具有优越性。其次，文章分析了美国及欧盟的反垄断法在技术标准化所处的新经济时代执法政策的调整趋势，认为保护创新已成为反垄断法的执法目标之一，在涉及专利反垄断执法问题上，确立了将专利权与其他财产权同等对待原则，在执法上主要适用合理原则。最后，文章介绍了标准制定阶段及标准实施阶段专利权人可能涉及的反竞争行为及其反垄断法规制。在介绍标准制定阶段的限制竞争协议时，重点讨论了标准制定中的事先确定专利费率问题，认为反垄断法应对标准中的事先确定专利费率给予更多的容忍。本文逐一分析了专利权人在标准实施中常见的限制竞争行为：拒绝许可、捆绑销售及不公正定价，认为与美国相比，欧盟在对专利标准化的反垄断执法上纪律更为严明，并考察了基础设施原则在专利标准化下的应用问题。第六章“专利标准化与中国相关政策及法律的调整和完善”，本章结合我国经济、技术发展状况及我国相关的立法现状，分析了在专利标准化时代我国的劣势和机遇，提出我国应充分利用WTO规则的有关弹性规定出台有利的产业政策，加强研发投入、加大政府具有自主知识产权的产品的采购力度积极发展自主标准，同时采取有效的竞争政策遏制具有市场支配地位的标准专利权人的滥用行为，本文最后对我国的标准管理法、专利法及知识产权反垄断立法提出了完善建议。更多还原

【Abstract】 Technical standard is the manifestation of best order in industrial production, andthe common language of product exchange. Against the backlash of economicglobalization, global division of labor makes technical standard, functioning as theconnecting point of product information, a key to world trade. Since the1990’s, thebooming ICT industry brought harsh challenges to technical standard as well asinternational trade, under which compatibility standard has become the prerequisite ofICT industry to fulfill the requirement of product interoperability. Compatibilitystandard is always set before the standard compliant product, with powerful networkexternality in economic effect, nevertheless, the accumulative innovation under ICTindustry results in accumulation of patents,“patent thicker”comes into being. Againstthe background of knowledge economy, patent, right of proprietary nature, isincorporated into technical standard, which has quasi-public goods nature, patentstandardization is inevitable. Patent standardization makes it possible for a patentee tocontrol the industry chain from the upstream, the game of interest among patentee,licensee and consumers is made fiercer through the platform of international trade.This can get supportive evidence from the patent war throughout the world, thetension between technology exporting country and technology importing country, theaggravation of conflicts between the self-innovation strategy in the technologyless-developed country and the obligation of complying the existing international standard under WTO/TBT.The key to solve the problems arising from patent standardization is balancingthe interests among the patentee whose patents are adopted in standards, standardlicensees and consumers. With regard to this, it is necessary to prevent a patenteefrom abusing his rights, and make reasonable restrictions on the patentee in thestandard setting and implementing process. Based on the logic, the thesis makes adeep and full-swing research into the problems arising from patent standardizationfrom the angle of international and domestic law, public and private law, contract,patent and anti-monopoly law. On the basis of study of large amount of casesconcerning patent standardization, borrowing the basic concept and method ofreasoning from economics, this thesis summarizes the common points of cases andprovides possible solution to the problems.This thesis is composed of three parts, the introduction, the text and theconclusion, which include six chapters. The brief contents of each chapter are asfollows.Chapter Ⅰ,“An Overview of the Basic Theory of Technical Standard and theRelated International Legal System”, introduces the definition, history andclassification of technical standard, explores the nature of technical standard,furthermore, focuses on the research into the legal system under WTO/TBT. The mainpoints are as following: Firstly, technical standards, in particular the compatibilitystandard and variety reduction standard, have network externalities in economy andmay result in technology lock-in. Secondly, in view of the quasi-public goods natureof technical standard, the government has the obligation to provide appropriate supply.Thirdly, WTO/TBT is the only international treaty regulating the interface ofinternational trade and technical standard, the six rules in international standardsetting issued by the CTBT in2000, that are transparency, openness, impartiality,consensus, effectiveness and relevance, have been regarded as the basic rules ininternational standard setting.Chapter Ⅱ,“Patent and the Legal Issues Arising from Patent Standardization”,leads to the topic of the thesis. The chapter makes an introduction to the definition and history of patent, indicating patent is proprietary right, then analyzes the causes andmeaning of patent standardization, illustrating two related issues concerned, patentpool and essential patent. Furthermore it summarizes the legal issues arising frompatent standardization. The main points are as following: Firstly, the rule that patent isprivate property has been established under WTO/TRIPS; Secondly, in context ofknowledge economy, patent standardization has become the trend of industrialdevelopment in the knowledge accumulating industry, which is represented by ICTindustry.“Patent standardization and standard licensing” has become the developmentmodel pursued by the ICT industry, standardization is now the core of industrial andnational strategic development; Thirdly, technical standards are always accompaniedwith patent pool, which can avoid royalties stacking, reduce the transaction cost,improve economic efficiency and promote social welfare. However, it may restrictcompetition process under certain situations. Fourthly, accession of essential patentsinto the technical standard is the vital measure to prevent patent holder fromrestricting competition, and the technical elements are the core elements in theessential patent identification.The Chapter Ⅲ,“Discussion on Patent Standards Issues in the Context ofInternational Legal System”, consists of two parts, discussion on patentstandardization issues under WTO/TBT and WTO/TRIPS respectively. The thesisstarts from the WAPI case, making a general introduction of the origin and latestdevelopment of the WAPI case, and the related discussion under WTO/TBT. Based onthe introduction, the thesis points out that patent standardization is the cause of theWAPI case. Furthermore, it argues that there is legislative vacancy under WTO/TBTin coordinating patent standardization and the Member’s obligation of compliancewith the existing international technical standard under WTO/TBT. In view of theobject pursed by WTO/TBT and the international status of WTO/TBT in regulatingpreparation, application and adoption of standards, the thesis suggests that the patentpolicy of Ex Ante Disclosure of essential patent information and FRAND license,which have be accepted by most standard setting organizations (SSOs) be introducedto WTO/TBT in the form of CTBT Decision as “the seventh rule” of international standard setting, and recommends ADR under WIPO as the alternative disputesettlement mechanism to settle the disputes arising from standard setting. At the sametime, information exchange mechanism concerning patent standardization underWIPO and WTO should be established to clarify the ambiguity area in the patentpolicy of SSOs. The second section focuses on the international legislation concerninganti-competitive practice in patent licensing, analyzes the specific patent-antitrustprovisions under WTO/TRIPS, such as Article7, Article8, Article31, and Article40,arguing that with the purpose of trade related IPR protection, TRIPS dose too little tocoordinate patent-antitrust policy. The patent antitrust provisions under TRIPS are notsystemized, and do not touch the core issue of competition policy enforcement.Finally, it concludes that the prospect of international cooperation of patent antitrustpolicy is not optimistic based on the enforcement features of competition law and theantagonistic attitude of the U.S.. Patent antitrust is now mainly within the domesticjurisdiction.Chapter Ⅳ,“Remedies under Private Law to Legal Issues Arising from PatentStandardization”, discusses the possible private law remedies to the legal issuesarising from patent standardization from the angle of contract law and patent law. Thefirst section analyzes the legal nature of Ex Ante FRAND license in SSO patent policy,introduces the latest development of patent policies of SSOs, furthermore, concludesthat more specific, clearer, more enforceable patent policy of SSOs is the effectivemethod to prevent patent hold-up. The second section discusses four equitabledoctrines frequently applied as defense in patent infringement litigation involvingpatent standardization, i.e. lache, waiver, estoppel and fraud. This thesis argues thatthe above said equitable defenses are of the nature of flexibility, however, flaw inmore strict burden of proof and high litigation expenses. It finally addresses patentmisuse defense in the U.S., arguing that double test rule, patent leverage rule andantitrust rule, have been established under the U.S. judicial practice in reviewingpatent misuse cases. However, the latest case shows that the U.S court has adopted aharsher attitude to patent misuse defense in patent standardization related cases.Chapter V,“Legal Issues in Regulating Patent Standardization with Public Law—— Antimonopoly Law”, starts from the analysis of the necessity to regulate patentstandardization with antimonopoly law, arguing that the consistent target of patent,technical standard and antimonopoly law, and the flexibility of antimonopoly lawenforcement rules make antimonopoly a more suitable legal area in dealing with thelegal issues arising from patent standardization. The thesis father analyzes the latestlegal reform of antimonopoly enforcement in the U.S. and EU against the backgroundof new economy, arguing that innovation protection has become one of the key aimsof antimonopoly enforcement. The rule that patent should be treated as other tangibleproperty has been established, and rule of reason should be applied first in patentantimonopoly enforcement. Finally, it discusses the anti-competition practice underthe standard setting process and implementing process, arguing that antimonopoly lawshould be more tolerant to ex ante royalty rate negotiation. The EU competitionauthority is stricter with anti-competition practices, such as refusal to license, tie-in,excessive pricing and price discrimination than its American counterpart Furthermore,the essential facility doctrine maybe a suitable remedy for the legal issues arisingfrom patent standardization.Chapter Ⅵ,“Patent Standardization and China’s Patent Standard RelatedLegislative Adjustment and Improvement”， combining with the status quo ofeconomic, technological development and the legislation, analyzes the disadvantagesand the chances China is facing in the patent standardization time. The thesis arguesthat China should make full use of the flexibility provisions of WTO rules, strengthenthe R&D investment, increase the government procurement of self owed IPR standardcompliant products, develop Chinese standard strategy, adopt effective competitionpolicy to regulate the anti-competition practices of patentees, who maintain theirdominant market power through technical standards. Finally, the thesis puts forwardsuggestions for the improvement of standardization management law, the patent lawand the draft of IP related antimonopoly guidelines.更多还原