【作者】 黄武双；

【导师】 王立民；

【作者基本信息】 华东政法学院 ， 法律史， 2006， 博士

【摘要】 新中国建立后，先后实施了两种专利制度，即上个世纪50年代从前苏联移植而来的专利与发明奖励并存的双轨制和上个世纪80年代开始实施的在借鉴德国专利基础上所创新的现行专利制度。50年代的专利制度在颁布实施后的第8个年头，实际上就因为反右运动的开始而被束之高阁了。上个世纪80年代初，为了改善吸引外资和外来技术的环境，为了激励国内的技术创新，诞生了现行专利制度。该制度诞生后就与我国改革开放的命运紧密相连，因为颁布后已经完成的每隔8年的一次修改(第一次修改于1992年、第二次修改于2000年)均与我国加入关贸总协定／WTO有关。与前两次修改所不同的是，目前我国正在酝酿的第三次修改的主要目的应该是提高专利制度的效率，以更好地服务于我国近年来提出的创新战略的实施。由于我国专利制度在每个特定的历史阶段都被赋予了特殊的历史使命，因而专利制度的“本职工作”——“鼓励发明创造、促进科学技术进步和创新、推动我国现代化建设”可能会有所偏离。当然，这种偏离是很难从专利制度内部的逻辑构造中发现的，因而本文尝试了法学研究并不惯常使用经济分析、数理统计等方法对专利制度所产生的绩效、专利制度应然价值实现程度、竞争环境和态势变化后专利制度的调整等问题进行了研究，希望能够从制度外部观察的种种表象来总结出一些可供法律制度制定及修改参考的建议。第一章：在简要介绍了上个世纪50年代的双轨制——专利制度与发明奖励制度后，对该制度所产生的社会效果及其制度的成因、缺陷作了分析。第二章：较为详细地介绍了我国专利制度孕育过程所处的外部环境、国内对专利制度的争论与决策过程、专利法草案部分条文的演变过程、专利法的特点，并总结了影响我国专利立法进程及其内容的主要因素。研究表明，这一专利制度在当时是法律移植与本土资源结合较好的一个典范。第三章：通过数理统计和经济分析的手段，发现专利法颁布实施后在对我国技术与经济起着积极效果的同时，也暴露出了不少消极因素。这种消极因素已经成制约我国为技术和经济进一步发展的“限速条”和瓶颈，但这在当时并未引起我国政府的重视，部分原因是当时专利制度被赋予的“入关／入世使者”特殊任务掩盖了专利制度对本国技术推动的本职工作。第四章：经过第一次修改的我国专利制度基本达到TRIPS协议所设定的标准，按理说，此时应该将重新审视专利制度对我国内生需求的满足程度。但2000年专利法的修改仍然以加入WTO扫平障碍为主要目标，因而第二次修改仍未全面关注国内的对专利制度的急切需求。当然，专利法在这一阶段的使命已经“超标准”完成了。本章介绍了扫除障碍的整个过程和细节。第五章：在完成了专利制度临时衍生的职能之后，我国正在酝酿第三次专利制度的修改。本章仍然通过数理统计、经济分析等方法分析了专利制度与我国实际需求之间的差距，并提出了第三次修改时应该着重解决的几个主要问题极其建议。第六章：介绍了我国专利制度在长期的司法实践中已经形成的专利侵权判定原则、平行进口规则、确认不侵权之诉以及专利间接侵权规则等一批潜规则。鉴于这些潜规则对司法审判的重要性以及对这些潜规则已经取得的研究成果和所达成的共识，建议尽快将这些潜规则显性化，即纳入专利制度之中，以提高其法律效力的层次。第七章：首先，分析了新中国50年代和80年代两个专利制度诞生的社会背景、时空差异对专利制度所产生的影响以及现行专利制度与社会实际需求之间的差距。其次，分析了专利制度绩效的观察方法以及绩效对制度的反射作用。最后，对影响我国专利制度功能发挥的配套措施的缺位情况进行了分析。第八章：在详细分析了专利制度创新与本国经济利益的关系之后，对如何保障专利制度的科学性作了一些总结并提供了一些建议，如立法的民主性与公开性、绩效考察对法律制度应然价值实现情况的意义、制度移植与本土资源利益保护的兼顾、理论与实践准备对制度制定与完善的意义等内容。本文研究问题的方法和视角有一定程度的创新，可以为将来法学研究界及其立法、司法等部门对法律制度科学性的研究提供一定的参考。当然，鉴于本人学识、研究能力等诸多限制，论文一定存在较多不妥之处，敬请专家、学者斧正。在此深表感谢!更多还原

【Abstract】 There have been two Patent systems in use since the establishment of the People’s Republic of China, namely, the dual systems of patent and invention reward transplanted from former Soviet Union in the 1950s and the present patent system started to put to use in 1980s which was emulated from German Patent System. The first patent system was shelved at the 8th year of promulgation due to the anti-right movement. The early 1980s saw the birth of the present Patent system aimed to improve the environment of ushering in foreign investment and technologies and stimulate domestic technological innovation. This patent system, ever since its birth, has been closely geared to the reform and opening up progress of China. It has successfully completed amendments every 8 years (the first amendment in 1992, the second in 2000), both concerning China’s accession to WTO. The third amendment under discussion aims to increase the efficiency of the present patent system so as to better serve the implementation of the innovation strategy initiated in recent years.Since the patent system has been bestowed special historic mission at specific historic stage, its fundamental role of encouraging innovation and creation, promoting scientific and technological progress and the modernization might have been diverted a little. The diversion is hard to discern from the internal logic of the patent system, therefore, the dissertation endeavors to study the performance of the patent system, the extent of its ought value realization, modification of the patent system due to changes of competition environment and development trend with the method of economic analysis and statistics which are not often used in jurisprudence with the aim of inducing some constructive suggestions for future promulgation or modification of relevant laws from external observations of the patent system.Chapter one first briefly discusses the dual system of patent and invention reward in the 1950s and then analyses the causes, social effect and the defects of the system.Chapter two dwells upon the external environment of the conception of China’s patent system, arguments from home and abroad and the decision process of the patent system, as well as the evolution of some articles of the draft of the Patent Law and its characteristics. Then this chapter summarizes the major elements that are affecting the process and the content of the legislation of the patent law. According to the study, this patent system is a good example of integration of transplanted law and local resources.Chapter three finds out through the means of statistics and economic analysis that the patent law has played certain positive role in promoting technology and economic development, but not without its passive factors that put a brake on further development of technology and economic development. The passiveness has not been attached due importance by Chinese government at that time, partly due to the fact that the special mission of being an envoy for WTO accession overweighed its fundamental role of patent system.Chapter four discusses the whole process of the amendments and some details. China’s patent system, after the first amendment, basically met the criterion set by TRIPS. It should have been examined whether it can meet domestic needs. However, the second amendment in 2000 aimed to clear the way for WTO accession rather than addressing the pressing demands for a more adequate patent system.Now China is considering the third amendment of the patent system since it accomplishes the ad hoc obligation. Chapter five analyses the discrepancy between the patent system and the actual demand through mathematical statistics and economic analysis and proposes the major issues and suggestions. Chapter six introduces the patent infringement judgment principles, parallel import principle, definition of non-infringement and indirect patent infringement principles among other tacit principles formed through long periods of judicial practice. Judging from the importance of these implicit principles to judicial judgment and the research achievements and consensus reached upon these principles, they are suggested to be made explicit in the patent system so as to improve the judicial power.Chapter seven analyses the social background of two Patent System in 1950’s and 1980’s, the influences arising from the difference social background, and the gap between the present Patent System and social request. This part summarizes the relationship between China’s social environment changes and the evolution of the patent system based on a brief account of the conception and development of new China’s patent system. Then it goes deeper into the relationship between the perspectives of observation and the scientific factor of the legal system and proposes that performance evaluation of the system is a good method to observe a legal system and analyze the presupposed objective realization extent.Chapter eight comes up with a summary and some suggestions on how to ensure the scientific factor of the patent system after elaborating on the relationship between patent system innovation and China’s economic interests, for example, democratic and open legislation, the significance of performance evaluation to the realization of the ought value of legal system, system transplanting and local resources protection consideration, the importance of theoretical and practical preparation to the establishment and perfection of system, etc.The approaches and methods adopted in this dissertation are quite innovative which may shed some light on future scientific research of the legal system for legal science and research, legislature and judicial departments. Any comment or constructive suggestion from experts and scholars is gratefully appreciated.更多还原