国际贸易中的知识产权限制研究

【作者】 胡滨斌；

【导师】 张乃根；

【作者基本信息】 复旦大学 ， 国际法学， 2007， 博士

【摘要】 国际贸易中的知识产权限制包括合理使用、强制许可、法定许可、权利穷竭和竞争法对知识产权滥用的规制等方面。它们属于控制性规则，是调整知识产权持有者与知识产权使用者利益平衡的重要社会工具，也是有关国家在国际知识产权保护领域争论的焦点问题之一。本文旨在以TRIPS协定为中心，对国际贸易中的知识产权限制进行较系统的研究，力图同时从理论和实证方面对其进行深入的理解，探究其发展规律。除引言和结语外，本文共分为五章。在引言部分，本文首先分析了关于知识产权限制的不同学术观点，认为知识产权限制不同于知识产权的权利界限，明确了本文所研究的知识产权限制是对已取得的知识产权专有权的减损性划界，属于知识产权的特殊权利界限。同时，认为知识产权限制属于控制性规则，它们以知识产权制度及具体知识产权的存在为前提，其目的是调整已经存在的知识产权与其他正当利益之间的关系。此外，结合WTO知识产权争端解决案例和全球公共健康危机，阐明对国际贸易中的知识产权限制进行研究的必要性，并对国际贸易中的知识产权限制进行了分类。第一章对国际贸易中的知识产权限制的历史与现状进行了研究。在历史分析部分，对早期的知识产权法包括英国1624年《垄断法案》和1709年《安妮法》等进行了研究，认为在现代知识产权制度诞生之时，知识产权限制已在法律中占有一席之地，但当时知识产权限制制度是相对单薄和不发达的，同时分析了这种现象的原因。在现状分析部分，首先阐明当代国际知识产权保护的两条主线及其融合，指出TRIPS协定将WIPO基础性公约纳入其中，从而将国际贸易体系与知识产权国际保护体系融为一体，并明确本文所讨论的国际贸易中的知识产权，是从这个意义出发的。然后以TRIPS协定为中心，从国际条约角度较系统地梳理了国际贸易中的知识产权限制，包括合理使用、强制许可、法定许可、权利穷竭、竞争法对知识产权滥用的规制等。第二章对国际贸易中的知识产权限制进行了理论分析。从洛克的劳动财产权学说、黑格尔的财产人格权学说和现代制度经济学等视角审视了将知识产权作为私权加以保护的必要性，认为知识产权限制是平衡私权与公共利益的有效方式。对知识产权的限制首先来自对权利进行限制的普遍原理。同时，本文认为民法领域的所有权社会化理论不宜直接作为知识产权限制的理论基础，因为研究表明，知识产权与所有权在历史演变过程的地位和角色有较大的不同。现代经济学理论关于知识产权限制的论证更有说明力。此外，探讨了竞争法对于知识产权的限制作用，分析了竞争法意义上的垄断与作为知识产权构造上的“合法垄断”的联系与区别。本章还分析并指出了贸易因素在知识产权制度产生过程中的重要作用，认为在某种意义上，没有贸易就没有知识产权，在贸易不发达的社会中，也难以存在发达的知识产权制度，因此，知识产权具有贸易属性。从国际法效力来源角度看，知识产权保护与国际贸易的联姻增强了国际知识产权条约的拘束力，并且分析了这种结合对于知识产权限制的影响。第三章对国际贸易中的专利权限制进行了研究。首先以加拿大药品专利保护案为例，分析了TRIPS协定第三十条，并对判定专利权例外的“三步检验法”进行了评析，认为具有实质操作意义的主要是后两步，即“正常利用”和“正当利益”标准，而“三步检验法”中的第一步，即“有限的例外”标准更多地可以被理解为对于专利权例外的总的要求。然后以全球性公共健康问题的解决为中心，对国际贸易中的专利强制许可进行了系统研究；阐述了专利强制许可的演变史，认为从历史发展总体上看，专利强制许可的适用条件趋于严格，TRIPS协定第三十一条是这种趋势的体现之一；由于全球公共健康危机日益严重，专利强制许可的适用条件在TRIPS协定第三十一条的基础上有所松动，这是多种原因造成的，但并未从根本上改变专利强制许可的发展趋势。此外，还研究了专利权穷竭和专利产品平行进口问题。在本章中，结合专利权例外、专利强制许可、专利权穷竭等论述，分析了我国相关专利法律法规中的不足之处，提出了若干立法建议。第四章对国际贸易中的商标权限制进行了研究。首先对商标合理使用进行了国际法和比较法视角的研究，阐释了TRIPS协定第十七条的结构，分析比较了美国和欧洲有关国家对于商标合理使用的规定，认为比较完善的商标合理使用制度应当同时包含“说明性合理使用”和“被提及的合理使用”，并对我国商标合理使用制度的完善提出了一些建议。在本章中，还分析了商标权利穷竭和商标产品平行进口问题，并从理论上对权利穷竭制度进行了思考，认为分析权利穷竭及与之相关的平行进口是否合法，应当从权利穷竭制度的目的出发。第五章对国际贸易中的版权限制进行了研究。首先以《美国版权法》第110(5)节案为例，研究了TRIPS协定第十三条及版权合理使用问题，在分析国际版权法的协调时，对TRIPS协定第十三条和伯尔尼公约中的“较小例外”之间的关系提出了自己的观点。同时，对版权领域的“三步检验法”也作了评析，认为该“三步检验法”中具有实际操作意义的也主要是后两步，即“正常利用”和“正当利益”标准。此外，还结合《美国版权法》第110(5)节案分析了版权例外与版权集体管理的关系，指出版权集体管理制度交易成本降低，版权例外与限制的范围就有缩小的趋势。在本章中，还对国际贸易中的版权法定许可、强制许可和版权权利穷竭及版权产品平行进口等问题进行了研究。总之，国际贸易中的知识产权限制，是调整知识产权持有者与知识产权使用者利益平衡的重要社会工具，也是平衡经济发展水平不同、文化传统各异的条约成员利益的法律手段。合理的知识产权限制，可以使知识产品得到最大限度的利用，这对于知识产权制度基本目标的实现决不亚于知识产权本身。更多还原

【Abstract】 The limitations on intellectual property rights in international trade include fair use, compulsory license, statutory license, exhaustion of rights and regulations from the competition law. They are regulative rules, which help balance the interests of holders and users of intellectual property rights. They are also the key issues which developed countries and developing countries have negotiated for a long time. The purpose of this dissertation is to explore the rules of the limitations on intellectual property rights in international trade. Besides introduction and conclusion, this dissertation includes five chapters.In introduction, different views about the limitations on intellectual property rights are analyzed. The limitations on intellectual property rights are different from the scope of intellectual property rights. They are regulative rules, the purpose of which is to regulate the relations between intellectual property rights and other legitimate interests. The necessity of the limitations on intellectual property rights is studied on the basis of the WTO dispute settlement cases and the global public health crisis. The limitations on intellectual property rights are also classed in introduction.In chapter 1, the history and status quo are studied about the limitations on intellectual property rights in international trade. In the part of the history, early intellectual property laws including The Statute of Monopolies in 1624 and The Statute of Anne in 1709 are studied. The birth of modern intellectual property regime saw the limitations on intellectual property rights. But at the initial stage of the regime, the limitations on intellectual property rights were undeveloped, which was determined by the role of intellectual property rights in property rights system and social economy. In the part of status quo, the two main lines and their interactions in modern international intellectual property protection are studied. Then the limitations on intellectual property rights, including fair use, compulsory license, statutory license, exhaustion of rights and regulations from the competition law, are analyzed from the prospect of international treaties.In chapter 2, the theories of the limitations on intellectual property rights are studied. Intellectual property rights are regarded as private rights and this is the result of the development of the society. In the history of legal development, it was supported by various theories. The system of the limitations on intellectual property rights is an important mechanism in international trade to balance the interests of intellectual property rights holders and intellectual property rights users. It is also an important legal method to balance the interests of the nations which have great diversities in economic development and in cultural traditions. As the nature of intellectual property rights is concerned, besides the personal rights, property rights and human rights which have been studied in the current literatures, intellectual property rights also have the nature of trade. In the birth and development of intellectual property rights, trade played an important role. In the current intellectual property rights regime, an important feature is the marriage between international trade and intellectual property rights. The purpose of the marriage is to enhance the binding force of international intellectual property treaties.In chapter 3, the limitations on patent rights in international trade are studied. First, Article 30 of the TRIPS Agreement is analyzed combined with Canada-Patent Protection of Pharmaceutical Products case in the WTO. The first step of the so-called ’three step test’ is in fact a general requirement and other two steps really do the testing job. Then compulsory license of patent is analyzed. From the view of history, the use of compulsory license has become more difficult and Article 31 of the TRIPS Agreement is the embodiment of this trend. This situation is slightly changed because of the global public health crisis and it is caused by many factors. But this does not change the trend of compulsory license of patent. China’s Patent Law should be modified so as to concord with Doha Declaration, General Council’s Decision and the Amendment of Article 31 of TRIPS Agreement. The Methods of Compulsory License of Patent Concerning Public Health by China’s National Intellectual Property Bureau has its shortcomings. In this chapter, the exhaustion of patent rights and parallel importation are also studied.In chapter 4, the limitations on trademark rights are studied. First, the fair use of the trademark is analyzed from the view of international law and comparative law. The structure of Article 17 of the TRIPS Agreement is expounded. The fair use of trademark includes both ’descriptive fair use’ and ’nominative fair use’. China’s Trademark Law should be modified as far as the fair use of trademark is concerned. In this chapter, the exhaustion of trademark rights and parallel importation are also studied. National exhaustion has full legal reasons, but international exhaustion does not.In chapter 5, the limitations on copyright in international trade are studied. Article 13 of the TRIPS Agreement is analyzed combined with United States-Section 110(5) of The US Copyright Act case in the WTO. The first step of the so-called ’three step test’ is in fact a general requirement and other two steps really do the testing job. The relationship between copyright exceptions and collective administration of copyright is also studied. In this chapter, compulsory license, statutory license and exhaustion of copyright are also analyzed.In sum, the limitations of intellectual property rights in international trade are regulative rules. They are changed with the development of the economy and culture. The limitations on intellectual property rights in international trade balance the interests of intellectual property rights holders and users. They play an important role in the realization of the goal of intellectual property regime.更多还原