【作者】 李洁瑜；

【导师】 李旭霞；

【作者基本信息】 华中农业大学 ， 经济法学， 2011， 硕士

【摘要】 转基因技术是生物技术的重要内容,在对其运用的基础上培育出的转基因水稻等转基因作物,其中很多品种已被广泛应用于农业生产中。我国在转基因水稻方面的研究已属世界领先地位,但囿于国家政策、风险评价要求以及民众对转基因水稻的认知度等多方面因素的影响,直至2009年,转基因水稻才获国家生产应用安全证书,能够在湖北省进行种植,这标志着我国即将进行转基因水稻的产业化种植。事实上,种植具有优良性状的转基因水稻对于缓解我国的粮食危机、保障我国乃至世界的粮食安全具有非常重要的意义。在转基因水稻产业化中,知识产权体系的完善是其中的基础性工作,而此种完善应当在我国《国家知识产权战略纲要》以及《2009年政府工作报告》中所提出的知识产权战略的指导下进行。因此,进行转基因水稻知识产权研究,就是要对在转基因水稻产业化过程中所遇到的基础性知识产权问题进行解答,并从知识产权战略所要求的创造、运用、管理与保护四方面加以完善,从而为我国转基因水稻产业化的顺利实施提供保障,同时也为其他转基因作物的产业化提供一定的借鉴。为完成以上目标,本研究综合运用文献资料法、比较分析法、实证调研法等分析方法,并以法学、生命科学、社会学、管理学等学科理论为指导,在对转基因作物的发展现状进行考察的基础上,从转基因水稻知识产权的基础理论入手,并结合我国转基因水稻专利检索的数据分析,对在转基因水稻产业化中知识产权方面产生的争议问题进行了解答。在我国知识产权总体战略的指导下,在对国外先进经验进行借鉴的基础上,从知识产权的创造、运用、管理与保护四方面着手研究,分析我国转基因水稻产业化知识产权体系存在的问题,并针对这些问题提出相应的对策和建议。进行相应的转基因水稻专利检索,首先是要对转基因水稻产业化中有关知识产权的争议问题进行解答；其次则是通过对转基因水稻专利申请的国别、权利要求、专利的技术内容及技术的年度变化等内容进行的分析,了解我国及世界各国在转基因水稻领域所进行的技术研究的发展方向及市场的发展动向。通过专利检索,可以了解他国的知识产权战略布局,可以为我国政府出台政策及企业进行经营决策提供最有力的技术情报支持,是我国进行转基因水稻产业化知识产权具体战略布局的重要依据。转基因水稻的知识产权创造、运用、管理与保护并不是相互独立的,它们以推动转基因水稻产业化的顺利实施为共同目标,并在此基础上形成了一个统一而又协调的知识产权体系。在创造方面通过对我国现行专利法制度及植物新品种保护制度的考察,明确我国已为转基因水稻的产业化提供了相应的知识产权制度支持,而在对这两个制度的比较以及对植物是否具有可专利性的分析基础上,进行我国转基因水稻知识产权的模式选择,并提出在建立农业遗传资源保护和利用制度的基础上进行依赖性派生品种制度的构建等。在运用方面通过对我国知识产权制度中专利权及品种权的权利内容以及权利限制制度、使用许可制度、权利转让制度的研究,明确我国进行转基因水稻知识产权运用的方式,针对我国转基因水稻知识产权成果转化率低的现状提出对国外先进技术进行合理运用以及建立知识产权合作联盟的建议,但在这个过程中还要注重对农民权益的保护、注重对转基因水稻及其产品与非转基因水稻及其产品混杂的管制等。在管理方面,根据主体的不同,可以分为知识产权的国家管理、科研机构管理和企业管理。在对这三方管理的完善上,应将它们放在同等重要的地位上。以进一步加强转基因水稻的自主知识产权建设为中心,在注重与国际的竞争与交流的同时,进行社会中间层的完善,进行知识产权市场价值评估机制、预警机制、激励机制的建设,进行知识产权良好文化氛围和人文氛围的营造。在保护方面,我国采用知识产权行政保护与司法保护的双轨制形式,能够很好地进行这两种保护方式之间的取长补短。在进行行政保护的执法机构、执法程序、执法人员队伍建设等方面完善的同时,还要注重转基因水稻的知识产权海关保护,并从侵权认定标准、司法鉴定方法、法律救济、责任追究等方面进行转基因水稻知识产权司法保护的完善。更多还原

【Abstract】 GM technology is an important part of biotechnology, and on the basis of it, the genetically modified rice (GM rice) and other transgenic crops are cultivated, in which many species have been widely used in agriculture production. In terms of the research on genetically modified rice, our country has reached the world leading level. But limited by the national policies, the requirements of risk assessment, the awareness of public, and so on, until the year of 2009, the genetically modified rice just obtained the national security certificate and permitted to carry out the promotion in Hubei Province, which means that GM rice in our country is about to be launched into the industrialization cultivation in due time. In fact, growing genetically modified rice with excellent characters is very significant to the mitigation of China’s food crisis and the food security protection of China even in the whole world.During the industrialization of genetically modified rice, improving the intellectual property system is a kind of basic work, which should be carried on under the guidance of the intellectual property strategy which was proposed in the "Outline of National Intellectual Property Strategy" and "Government Work Report 2009". Therefore, studying the intellectual property rights for genetically modified rice is to response the basic issues on intellectual property in the industrialization of genetically modified rice, and to improve four aspects of creation, utilization, management and protection, which are required by the intellectual property strategy, so as to ensure the smooth implementation of industrialization of genetically modified rice in our country, and also provide a reference for the industrialization of other transgenic crops.In order to accomplish these objectives, the study subjects, regard the theory of law, life sciences, sociology, management and other disciplines as guidance, on the basis of the investigation on current development of transgenic crops, the fundamental theory on the intellectual property for genetically modified rice, the analysis on the data of patents retrieval of genetically modified rice, combine with the use of literature analysis, comparative analysis, empirical analysis and other analytical methods to resolve the intellectual property dispute over the industrialization of genetically modified rice. Under the guidance of the overall strategy on intellectual property in China, learning the advanced experience of foreign countries, studying the four aspects of creation, utilization, management and protection on intellectual property, this study analyzes the existing problems of the intellectual property system in industrialization of genetically modified rice, and also put forward corresponding countermeasures and suggestions for these questions.Corresponding the patents retrieval of genetically modified rice, on the one hand, the intellectual property dispute over the industrialization of genetically modified rice can be resolved; on the other hand, through the analysis of countries who applied patents of genetically modified rice, claims of patents, contents of patented technologies, the annual changes of patented technologies and other relevant things, the development of technologies in genetically modified rice and the trend of relevant market can be understood. And also, through the patents retrieval, we can learn from the layout of other countries on intellectual property strategy, which can provide the most effective technical intelligence for the introduction of our country’s policies and management decisions of enterprises, and also is an important foundation of the layout on intellectual property strategy in China’s industrialization of genetically modified rice.The IP creation, utilization, management and protection are not mutually independent which formed a unified and coordinated intellectual property system on the basis of the common objective of promoting the industrial implementation of genetically modified rice. In the aspect of creation, through the research in the system of Patent Law and the system of protection of New Plant Varieties, the corresponding intellectual property system of our country is enough for the industrialization in genetically modified rice. On the basis of the comparison of the two systems and the analysis about whether the plant possesses the patentability, we make the choose of the mode of intellectual property of genetically modified rice in China, and put forward the suggestions about construction of the system of Essentially Derived Varieties based on the establishment of the system of conservation and utilization of agriculture genetic resources, and so on. In the aspect of utilization, through the research of the contents of patent rights and variety rights, the right to limit system, the licensing system and the rights transfer system, how to use the intellectual property for genetically modified rice in our country is explicit. For the low transformation rate of intellectual property for genetically modified rice, the suggestions that we should rationally use foreign advanced technology and establish the cooperation alliance on intellectual property are proposed. But during the process, we also should pay attention to protecting farmers’rights and focus on the restraint in the mix of transgenic rice and its products and non-transgenic rice and its products. According to the different subjects, the IP management can be divided into national IP management, scientific research institution IP management and enterprise IP management which also should be treated equally during the improvement of the three kinds of IP management. To further strengthen the independent intellectual property for genetically modified rice as a focus, and pay attention to the international competition and communication at the same time, we should perfect the middle layer of society, construct assessment mechanism for market value of intellectual property, early warning mechanism for intellectual property and incentive mechanism for intellectual property, create the good cultural atmosphere for intellectual property. In the aspect of protection, China adopts the dual-track system of executive protection and judicial protection for intellectual property, which can make sure that they could learn the advantages from each other and avoid the disadvantage. We should perfect the executive protection on the aspects of law enforcement agencies, law enforcement procedures, team of law enforcement officers, and also the customs protection of intellectual property for genetically modified rice. We should also complete the judicial protection of intellectual property for genetically modified rice on the aspects of infringement standards, forensic methods, legal remedy, accountability, and so on.更多还原