【作者】 徐曾沧；

【导师】 周汉民；

【作者基本信息】 华东政法大学 ， 国际法， 2008， 博士

【摘要】 本文研究WTO背景下技术标准中专利并入的法律问题,“导论”提出问题,第一章分析问题产生原因,第二章到第四章分别从标准设定组织专利政策、专利法、反垄断角度,分析了问题及解决方法,“结论”结合我国面临形势及存在问题,提出了应对之策。“导论”提出本文研究的问题、解决现状及研究意义。通过对我国政府向WTO技术性贸易壁垒委员会提出《标准化中的知识产权问题》议案、后无果而终这一事件的追问与反思,将WTO背景下技术标准中专利并入的法律问题作为研究对象。通过对这一命题的解读,指出技术标准中专利并入,可能产生标准阻抑及竞争阻碍问题,主要表现为专利信息不披露、专利联合许可、专利拒绝许可、专利超高定价许可四种形式,在国际贸易领域,该问题还表现为新形式的贸易壁垒。随后提出了解决该问题的三种方法,即标准设定组织专利政策、专利法、反垄断,分析其可能存在的不足。我国在实施国内技术标准、采用国际标准、遵守外国(含区域)技术标准三个层面,都面临技术标准中专利并入问题。我国现有标准化政策与法律、专利法、反垄断法等尚不完善,难以有效解决这一问题,需进一步完善。正因如此,该问题的研究具有十分重要的理论意义和实践价值。第一章“技术标准中专利并入的基础理论”,论述了技术标准中专利并入的基本原理。分五节。第一节研究了技术标准的定义、分类、目的、性质。技术标准在不同情境下有不同含义,明确特定话语环境对正确理解技术标准至关重要;技术标准可从不同角度分类,法律意义也有所不同,并通过分类确定本文要研究的技术标准;技术标准的目的解决了为什么需要技术标准的问题,并从网络外在性、信息不对称、生产外部性原理,分析了兼容性标准、安全标准、环境标准等技术标准产生原因;技术标准在经济学上属公共物品,决定了其法律上公有物权性质。第二节研究了TBT协定下成员方对技术标准的义务。根据TBT协定,WTO成员方在制定技术法规和技术标准方面,有优先国际标准或以国际标准为基础的义务,仅在存在安全、健康、环境等法定事由并履行法律程序下,方可背离国际标准,制定本国技术法规和技术标准,随后结合TBT协定内容,对中美围绕无线局域网国际标准的纠纷进行了解读。第三节论述了专利的种类、授予条件、本质特征及法律性质。大多国家按照“先申请原则”授予发明专利,但美国法采取了“先发明原则”,为标准设定情境下专利并入技术标准提供了便利。专利本质特征是:专利权人以公开技术方案为条件,获得对新技术方案的垄断实施;专利权性质属私权。第四节论述技术标准中的专利并入。分析了技术标准中专利并入的四方面原因。技术标准中并入的专利以方法专利为主,且为必要专利。并入技术标准中专利的专利权人一般为技术标准提案人本身,在特定情形下,也包括技术标准提案人之外的第三人。技术标准中专利并入的时间,因专利授予原则不同而有所差异,在先申请原则下,专利披露时间不能太早,否则失去新颖性,在先发明原则下,专利披露可相对滞后。第五节论述技术标准中并入专利产生的法律问题。技术标准中专利并入可能会产生标准阻抑及竞争阻碍问题。标准阻抑问题是指,如果标准设定组织成员进行标准选择后,发现标准侵权了某一专利权,或者专利权人知道标准设定组织已经选定其专利技术作为优先的方法后,可比在标准设定前进行的谈判中索取更高的许可费,与标准设定组织没有实际上授予专利市场力量(或某种便利)之前专利许可可能达成的许可费率相比,专利权人可获得更高专利许可费率,从而阻碍了技术标准的采用。竞争阻碍问题是指,一旦专利并入技术标准,技术标准有强化专利实施的效果,一些标准提案人不披露技术标准中专利信息,或不正当的专利联合许可,或收取高额许可费,或拒绝许可,产生或试图产生垄断,或产生其他危害后果,从而损害了竞争,减少了消费者福利。这些问题在国际贸易中表现为新形式的贸易壁垒。最后从四个方面分析了技术标准中专利并入产生问题的主要原因。第二章“技术标准中专利并入问题的专利政策调整”,论述如何以标准设定组织专利政策调整技术标准专利并入问题。分四节。第一节论述了标准设定组织专利政策。专利政策主要内容包括:允许必要专利并入原则;事前披露原则;合理无歧视许可原则;专利权人无专利检索义务;标准设定组织中立原则。第二节论述了标准设定组织专利政策的效力依据。标准设定组织章程是标准设定组织赖以存在和开展活动的法律依据;标准设定组织章程除约束约束成员外,当专利权人向标准设定组织作出免费许可或RAND许可承诺后,产生第三方受益人,主要国家立法趋势是赋予第三人直接请求权。为防止标准设定组织成员策略性退出问题,应承担后续义务。第三节论述司法实践对标准设定组织专利政策的适用与发展。对专利权人在标准设定中违反事前披露原则的行为,采取衡平禁止反言抗辩较为合适,也可以欺诈进行抗辩,但法院认定构成欺诈的条件较高;如果标准提案人作出FRAND承诺,则构成对标准采用人的默示专利许可。第四节对标准设定组织专利政策作出评价。标准设定组织专利政策部分解决了标准阻抑和限制竞争问题,具有积极作用,但也存在明显不足。第三章“技术标准中专利并入问题的专利法调整”,论述从如何从专利法角度调整技术标准中专利并入问题。分三节。第一节论述了专利权滥用的基本理论与实践。专利权滥用是针对专利侵权提出的确定性抗辩,根据专利权滥用抗辩原则,如果专利权人行使权利违反公共利益,就不能要求法院保护其权利,美国是少有的在专利法中对专利权滥用作出明确规定的国家。专利权滥用构成要件有二:须有专利权存在或与专利权行使有关;须专利权行使损害他人或社会利益。专利权滥用的法律效果是:在滥用行为被矫正之前,专利权人请求执行专利和禁令的救济请求,得不到法院支持。专利权滥用和反垄断法存在明显差别:产生时间不同;作用机理不同;性质程度不同;法律后果不同。第二节论述技术标准中专利并入问题的专利权滥用调整,运用专利权滥用原则,可解决技术标准中专利并入产生的不披露专利信息、许可费歧视、一揽子许可等问题;运用专利权滥用调整技术标准中专利并入问题,既有积极作用,也存在相应不足。第三节论述技术标准中并入专利的强制许可调整。TRIPS协定关于专利强制许可法定事由和许可程序作出了明确规定,根据TRIPS协定专利强制许可实施的条件,技术标准中专利权人行为构成限制竞争时,可适用强制许可;另一方面,即使技术标准中专利权人行为并不构成限制竞争,但技术标准采用人在使用专利前,已按合理商业条款和条件努力从专利权人处获得授权,但此类努力在合理时间内未获得成功,也可请求强制许可。第四章“技术标准中专利并入问题的反垄断法调整”,论述如何从反垄断法角度调整技术标准中专利并入问题。分六节。第一节从竞争法调整对象和立法体例、反垄断法调整的垄断行为、合理原则与本身违法原则、反垄断法的域外效力、反垄断的分析范式、违反反垄断法的法律责任等六个方面,介绍了反垄断法的基本理论。第二节论述了专利权行使的反垄断法调整。反垄断法与知识产权法关系是:两者具有共同立法目的;知识产权正当行使属反垄断法豁免,滥用知识产权受反垄断法调整;反垄断法对专利权行使的调整不断发展,美国、欧盟专门制定实施知识产权反垄断法规,调整知识产权行使。第三节以美国Dell案、Unocal案、Rambus案为例,论述了如何以反垄断法调整技术标准中专利信息不披露问题,分析了其责任依据和责任性质。要证明技术标准中专利信息的不披露构成垄断或试图垄断,须证明标准提案人存在误述、通过技术标准获得市场力量、标准提案人存在垄断意图。第四节论述如何以反垄断法调整技术标准中专利联合许可问题。通过三个案例的比较分析,总结出判断技术标准中专利联合许可是否违反反垄断法的标准是:是否为互补专利、是否允许单独许可、是否允许与专利及标准竞争、是否存在价格固定或价格操纵。第五节论述如何以反垄断法调整技术标准中专利拒绝许可问题。欧美反垄断法以必要设施原则解决物理资产的拒绝交易问题,近年来逐步扩展到适用于知识产权拒绝交易。适用该原则解决技术标准中专利权人拒绝专利许可产生的限制竞争问题,具有必要性和可能性。第六节论述如何以反垄断法调整技术标准中专利许可超高定价问题,虽然大多国家反垄断法将超高定价作为垄断行为加以调整,但司法实践表明,对超高定价的反垄断指控并不容易,事前许可可作为替代性解决方法。结论“完善与运用多种法律制度,解决技术标准中专利并入问题”,结合我国在实施国内技术标准、采用国际标准、遵守外国(含区域)技术标准三个层面,面临专利并入产生的标准阻抑及竞争阻碍问题,根据前述几章的分析结论,提出我国的应对方法。分三节。第一节论述我国应完善标准化管理体制、专利政策及TBT协定的实施。我国现行的行政主导标准化管理体制存在不足,应按照“国家标准行政主管机关(制定国家标准)——民间标准设定组织(制定行业标准)——企业(标准提案人)”模式进行完善。国家标准化管理委员会起草的《国家标准涉及专利的规定(暂行草案)》存在先天不足,应加以修改。我国在实施TBT协定过程中,应按一定顺位采用国际标准,在遵守外国技术标准时,若成员方违反TBT协定,我国政府可向WTO争端解决机构提起违反之诉。第二节论述我国专利法相关法律制度的完善与运用。最高人民法院《关于审理专利侵权纠纷案件若干问题的规定(征求意见稿)》第75条关于技术标准与专利侵权的规定,存在不足,需进一步完善。我国应按照禁止专利权滥用与反垄断法并存模式,建立禁止专利权滥用制度。我国专利强制许可制度与TRIPS协定仍有差距,应根据TRIPS协定进行完善。第三节论述我国知识产权反垄断法立法的完善与运用,我国反垄断法应从评估原则、相关市场界定、反垄断执法机构、反垄断执法工作制度、反垄断责任制度、反垄断私人诉讼制度、反垄断域外效力等方面进行完善。我国知识产权反垄断法律制度应借鉴美国《知识产权许可反垄断指南》,以总则形式明确知识产权法与反垄断法关系、知识产权反垄断法分析基本原则、评估原则、反垄断“安全区”、专利权人不得利用标准限制竞争等内容,以分则形式明确各类知识产权行使行为的促进及限制竞争因素,为反垄断分析提供具体指导。最后,依据知识产权反垄断基本原理,结合我国面临技术标准中专利并入产生限制竞争的具体情形,对其处理思路进行总结。更多还原

【Abstract】 This article studies the legal issues arising from patent incorporation into technical standard. Introduction puts forward problems. Chapter 1 analyses how the problems arise from. Chapter 2– 4 analyses the problems and its solution methods from the perspectives of Patent Policy of Standard Setting Organizations(SSO),Patent Law and Antitrust Law. Conclusion puts forward the methods to solve the problems according to China’s situations and existing problems.Introduction puts forward the problems, the status quo of solving problems and the research purport. By enquiring and reflecting the event that China presents a proposal named INTELLECTUAL PROPERTY RIGHT (IPR) ISSUES IN STANDARDIZATION to WTO Committee on Technical Barriers to Trade and has no result,this article take the legal issues arising from patent incorporation into technical standard as the object of this study. Patent incorporation into technical standard may lead to Standard Hold-up Problem and Competition-bloching Problem The problems appear in the form of non-disclosure of patent information, patent pool, refusal to license, excessive pricing on license. The Problem behaves a new kind of barrier to trade in international trade. This article puts forward three methods to solve the problems, including the SSO’s patent policy, Patent Law and Antitrust law,and analyses their merits and demerits. During practicing the domestic technical standard, adopting international standard and observe foreig(nIncluding area standard)technical standard,China is facing the legal issues arising from patent incorporation into technical standard. China’s patent policy and law relating to standardization, Patent Law and Antitrust Law have some loopholes,and it is difficulty to solve the problems,so it is necessary to perfect relevant laws Therefore, this study has very important values in theory and practice.Chapter 1 deals with the basic theory of patent incorporation into technical standard. There are 5 sections. Section 1 deals with the definition, classification, purpose, and nature of technical standard. Technical standard has different meaning in the different circumstances, so it is vital to ascertain the given context to understand it. Technical standard may be classified from different angle and their legal meanings are not the same. This article ascertains the studied technical standard via these classifications. The purpose of Technical standard explains why need technical standard, and this article analyses why need compatibility standard, security standard, and environment standard from the Network Externality, Information Asymmetry and External Effect of Production. The public goods attribute of technical standard in Economics governs its public property rights in law. Section 2 deals with the WTO member’s obligation to technical standard. According to TBT,during setting up technical regulations and Technical standard, WTO members have compulsory obligation to adopt International Standard or take International Standard as basis. WTO member can deviate from International Standard and set up domestic technical regulations and technical standard only from security, health, and environment considerations and legal procedures According to TBT, this article interprets the dispute over setting up WLAN International Standard between China and America. Section 3 deals with the classification, granting conditions, characteristics; and nature of patent. Most countries grants patent according to first-to-applying rule. But US patent law grants patent according to first- to–invention rule and this facilitates patent incorporation into technical standard in standardization setting context. The characteristics of patent is that patent owner gets monopoly power over practicing new technology scheme at the expense of publishing new technology scheme. Patent right is a kind of private rights. Section 4 deals with how patent incorporates into technical standard. This section analyses four reasons why patent could incorporated into Technical standard. The patent incorporating into technical standard mainly is method patent and it is essential to technical standard. The patent owner usually is the proposer of technical standard,and may be someone else. The time of patent incorporation into technical standard varies from granting rule. Under first-to-applying rule, the disclosure time cannot be too earlier, or it will lose the novelty. Under first–to-invention rule, the disclosure time may be lagged. Section 5 deals with the legal issues arising from patent incorporating into technical standard. patent incorporation into technical standard may result standard Hold-up Problem and competition-blocking problem. Hold-up problems means that after SSO member choses standard,he finds that adopting the standard infringes a certain patent, or that patent owner have known that SSO has chosen its patent as priority,he can get higher licensing fee than he can get where SSO has not confer market power or other facilitation before the standard set up, so this blocks the adoption of technical standard. Competition-blocking problem means that once patent incorporates into technical standard, because the technical standard has the effect of enhancing practicing patent,some proposers of technical standard take actions as non-disclosure of patent information, patent pool, refusal to license, excessive pricing on license,produces monopoly or attempt to produce monopoly,or leads to other hazard,hence makes damages to competition and eliminates consumer’s welfare. These problems appear as a new kind of barrier to trade in international trade. Finally, this section analyses the four reasons why the problems arise from patent incorporation into technical standard.Chapter 2 deals with how regulates the legal issues arising from patent incorporation into technical standard by SSO patent policy. There are 3 sections. Section 1 deals with the contents of SSO patent policy. It contains that permitting essential patent incorporate into technical standard;Ex-ante disclosure;free royalty or royalty on reasonable and non-discrimination(FRAND);Patent owner has no duty to search patent; neutrality standing of SSO. Section 2 deals with the legal force of SSO patent policy. SSO bylaw is the legal basis on which SSO exists and operates. Besides binding the members, when patent owner make FRAND promise to SSO,it produces a third beneficiary. Most countries law empowers the third beneficiary a legal claim. In case of SSO member tactic exit, SSO member shall undertake on-going obligations. Section 3 deals with the applying and developing the patent policy of SSO in practice. In the case of patent owner’s breach Ex -ante disclosure rule,it is proper to apply Estopple by Conduct principle. The adopter of technical standard also makes fraudulent defense, but the requirements is relatively higher. If the proposer of technical standard makes FRAND promise,it constitutes implied license to the adopter. Section 4 makes a review on SSO patent policy. SSO patent policy resolves partially standard hold-up problem and competition-blocking problem. It has good effects, but it also has some shortcomings.Chapter 3 deals with how regulates the legal issues arising from patent incorporation into technical standard by Patent Law. There are 3 Sections. Section 1 deals with the theory and practice of patent misuse. Patent misuse is affirmative defense against patent infringement. According to the defense of patent misuse,if patent owner’s exercising its rights breaches public interest, he cannot ask the court safeguard its rights. U.S. Patent Law provides patent misuse. There are two elements of patent misuse. First, there exists patent or being related to exercising patent; Second, exercising patent does harm to others or public interests. The consequence of patent misuse is that the court does not support the patent owner’s claims for exercising his rights and applying for injunction before the misuse act is adjusted. There are some differences between patent misuse and antitrust law, and they are coming into being , function, nature and legal consequence. Section 2 deals with how patent misuse regulates the legal issues arising from patent incorporation into technical standard. Patent misuse may solve the legal issues arising from patent incorporation into technical standard, such as non-disclosure of patent information, license fee discrimination, patent pool and so on. Applying patent misuse to regulate the legal issues arising from patent incorporation into technical standard has merits and demerits. Section 3 deals with how compulsory license regulates the legal issues arising from patent incorporation into technical standard. TRIPS provides the legal reasons and procedures of compulsory license. According to the conditions of patent compulsory license provided in TRIPS, when technical standard patent owner’s act constitutes restrictive competition, compulsory license may apply; on the other hand,even if the patent owner’s act does not constitutes restrictive competition,but the prospective adopter of technical standard attempts to get license from patent owner in accordance with reasonable commercial terms but does not succeed in reasonable time, he can also apply compulsory license.Chapter 4 deals with how regulates the legal issues arising from Patent incorporation into technical standard by antitrust law. There are 5 Sections. Section 1 introduces the basic theory of antitrust law from the regulating object and legislative mode of competition law, monopolization act regulated by antitrust law , reasonable rule and per se rule, extraterritorial effect , analytical mode, liability. Section 2 deals with how regulates the patent’s exercising by antitrust law. The relationship between antitrust law and intellectual property law is close. First, they have both the same legislative purposes; Second, exercising intellectual property rights properly is immunized by antitrust law; Third, the misuse of intellectual property rights shall be regulated by antitrust law. U.S. and European Union lay down antitrust regulations to regulate the exercising of intellectual property rights. Section 3, taking Dell case, Unocal case and Rambus case as examples,deals with how regulates non-disclosure of patent information in technical standard by antitrust law,and analyses the basis and nature of liability. Proving the non-disclosure of patent information in technical standard to constitute monopoly or attempt to monopoly, it shall establish that: First, the proposer of technical standard misrepresents; Second, he get market power by technical standard; Third, he has intent to monopoly. Section 4 deals with how regulates patent pool in technical standard by antitrust law. By contrasting 3 cases, this section summing up the criteria whether the patent pool in Technical standard violates Antitrust Law. First, whether the incorporation patents is complementary or not; Second, whether permit the incorporation patents license alone or not, Third, whether permit the competition with the patent and standard; Fourth, whether exist price-fixing or price manipulation. Section 5 deals with how regulates the refusal to licensing patent in technical standard by antitrust law. Antitrust law of U.S. and European Union apply essential facilities doctrine to solve the problem of refusal to deal,and the doctrine’s applying extends to refusal to deal of intellectual property rights in recent years. It is necessary and possible to apply the doctrine to solve patent owner’s refusal to license in technical standard. Section 6 deals with how regulates excessive pricing on license in technical standard by antitrust law. Most antitrust law takes excessive prices as a kind of monopoly and regulates it, but judicial practice indicates that it is not easy to decide excessive price. Hence, Ex-ante license will be a alternative method.Conclusion entitled perfecting and applying legal systems to resolve the legal issue arising from patent incorporation into technical standard. According to China’s facing standard hold-up problem and competition-blocking problem arising from patent incorporation into technical standard during practicing domestic technical standard, adopting international standard and observing foreign(including area standard)technical standard, based on the foresaid analytical conclusions, puts forward the methods to solve problems. There are 3 Sections. Section 1 deals with China should perfect standardization administrative system, patent policy and the practicing of TBT. Our administration—orientated standardization system exists some inadequacy,it should be perfected according to the mode of“national standardization administrative agency(setting up national standard)—SSO(setting up industry standard)-enterprise(the proposer of technical standard)”. The rules on national standard related to patent (draft) drawn up by Standardization Administration Committee (SAC) of P.R.C. exists inadequacy, it should be perfected. China should adopt international standard according to the given order during practicing TBT. During observing foreign (including area standard) technical standard, if WTO member violates TBT,China government can bring a complaint to WTO Dispute Settling Body. Section 2 deals with China should perfect and apply patent law. Article 75“Technical standard and patent infringement”of The rules on trial of patent infringement (draft) made by the Supreme Court of the People’s Republic of China exists inadequacy, and it need perfecting. China should establish patent misuse system according to the coexistence mode of patent misuse and antitrust law. China’s compulsory patent license has some gaps in contrast with TRIPS,it should be perfected according to TRIPS. Section 3 deals with the perfecting and applying china’s antitrust rules for intellectual property. China‘s antitrust law should be perfected from evaluating rule, the definition of relevant market, antitrust executing agency, antitrust executing work system, antitrust law liability, antitrust law private litigation, the extraterritorial effect of antitrust law. China should perfect antitrust rule for intellectual property by referring U.S. Antitrust Guidelines for the Licensing of Intellectual Property. It should provide the relationship between intellectual property law and antitrust law, the basic principle of intellectual property’s antitrust analysis, evaluating rule, safe zone, prohibiting patent owner’s restrictive competition via standard setting in general provisions; and it should provide the elements of pro-competition and anti-competition of each act of practicing intellectual property rights as guideline for antitrust analysis.in sub-provisions Eventually, according to the basic theory of antitrust law, this section make a summery on how to deal with China’s facing restrictive competition problems China which arises from patent incorporation into technical standard.更多还原