国际技术贸易中知识产权滥用行为法律规制问题分析

发布时间：2018-03-14 09:15

本文选题：国际技术贸易　切入点：知识产权滥用　出处：《中国政法大学》2011年硕士论文　论文类型：学位论文

【摘要】：在知识经济即将到来的时代,国际技术贸易中的知识产权滥用行为将对一国经济的发展产生重要影响。如何对知识产权滥用进行有效的法律规制与知识产权的保护同等重要。但是对知识产权滥用进行法律规制,需要建立起一套系统的知识产权滥用的法律体系,在此之前还需要对知识产权滥用的理论基础及概念界定形成合理的认识。本文试图通过对知识产权滥用的理论基础进行探讨,以民法“禁止权利滥用”对知识产权滥用法律规制体系的目标和性质进行定位,在此基础上试对知识产权滥用的概念、分类、表现做出界定。然后针对国际技术贸易中的知识产权滥用行为:许可合同中的限制性条款、拒绝许可、不实施专利三种行为,分章节进行着重论述。通过本文,笔者尝试对国际技术贸易中的知识产权滥用行为归纳出尽量完整清晰的法律规制思路,探讨如何结合反垄断法和知识产权法对影响我国国际技术贸易正常开展的知识产权滥用问题进行法律规制提出力所能及的建议。文章结构安排如下: 第一章为“国际技术贸易中知识产权滥用行为的界定”,从知识产权滥用与民法“禁止权利滥用”原则的关系出发,对知识产权滥用的产生原因、行为后果、概念构成、及行为类别进行分析与归纳;并在此基础上对国际技术贸易中的知识产权滥用行为的概念界定及其表现形式做出一般性概括:根据知识产权实体权利的主要内容(独占实施权和许可权)将国际技术贸易中知识产权滥用行为的表现形式主要概括为滥用许可权(许可合同中限制性条款、拒绝许可)、不实施行为。第二章为“知识产权许可合同中限制性条款的法律规制”,对限制性条款做列举式概括;对反垄断法对知识产权滥用进行规制的必要性进行论述;分别对美国和欧盟知识产权滥用的反垄断法规制的立法和实践进行分析,并对两者在法律规制中的特点做出比较和总结;分析反垄断法规制知识产权滥用存在的局限性,并对我国反垄断法的规制特点和有待改进的方面做出总结。第三章为“对国际技术贸易中拒绝许可行为的法律规制”,对拒绝许可的产生原因、分类进行分析;提出对拒绝许可应区分知识产权法的规制方法和反垄断法的规制方法,并对两个方面分别进行论述:对拒绝许可适用知识产权法的强制许可规制的论述中,对TRIPS协议和我国知识产权法中的强制许可制度的特点以及适用于对拒绝许可行为的法律规制进行了论述;以欧盟Magill案、IMS案、德国Spundfass案,以及欧盟和美国对微软拒绝许可行为的司法判定为例,对知识产权拒绝许可进行反垄断法规制的“新产品规则”和“关键设施规则”进行分析。第四章为“对专利权人不实施专利的法律规制”,对专利权人不实施专利的原因、表现和违法性进行分析;分析了各国立法和《巴黎公约》中的“专利当地实施要求”对不实施行为的法律规制,以及我国修订后的专利法中对不实施专利的强制许可规定;对《巴黎公约》第5条A款中的“专利当地实施要求”是否与TRIPS协议第27条的规定相矛盾的问题,从《巴黎公约》与RTIPS协议的关系、“专利当地实施要求”与TRIPS协议第31条专利强制许可制度之间的关系、以及TRIPS协议第27条的规定如何解释,三个层次进行论述,得出《巴黎公约》中的“专利当地实施要求”并不与TRIPS协议第27条的规定相矛盾,而是作为专利强制许可制度的组成部分,是对专利权人的权利限制规定,是对TRIPS协议的公共健康政策和公共利益目标的体现,有利于促进成员国科技进步和经济发展的结论。结论部分根据上述四个部分对知识产权滥用法律规制的理论基础、概念界定、行为表现和法律规则方法的论述,对知识产权滥用的法律规制体系进行设想和构建,提出应当结合知识产权法和反垄断法以及其他相关部门法对知识产权滥用行为形成全面的法律规制体系,并对我国相关领域法律规定的完善提出一些修改和补充建议。
[Abstract]:As the coming of knowledge economy era, the international technology trade in the abuse of intellectual property rights will have an important influence on the development of the economy of a country. How to protect the legal regulation of the abuse of intellectual property rights and intellectual property rights effectively are equally important. But the abuse of intellectual property rights in the legal regulation, need to establish a legal system of abuse the system of intellectual property rights, before also need theoretical basis and concept definition of abuse of intellectual property rights to form a reasonable understanding. This paper attempts to explore the theoretical basis of the abuse of intellectual property rights, to locate the target and the nature of civil law "Prohibition of abuse of rights" on the abuse of intellectual property legal system, on the basis of test the concept of abuse of intellectual property classification, performance definition. Then according to the international technology trade in intellectual property abuse: license contract Restrictive clauses, refusal to license the patent, not three kinds of behavior, the chapter elaborates. Through this article, the author attempts to international technology trade in intellectual property abuse summed up the legal regulation to complete and clear thinking, to explore how to combine the anti-monopoly law and intellectual property law on the impact of international technology trade in our country is normal the abuse of intellectual property rights and put forward the advice of legal regulation.
The structure of the article is arranged as follows:
The first chapter is "the international technology trade" definition of abuse of intellectual property rights, the abuse of intellectual property rights of civil law and the relationship between the "Prohibition of abuse of rights principle, the causes, the abuse of intellectual property rights behavior concept, consequences, and behavior are analyzed and classified categories; and on the basis of the concept of international technology trade the abuse of intellectual property rights and the definition of form makes a general summary: according to the main content of intellectual property rights entity (monopoly implementation right and license) intellectual property in international trade of technology as the main form of abuse is summarized as abuse of license (restrictive clauses, the license contract refused permission), not the implementation of behavior.
The second chapter is "the legal regulation of restrictive clauses in licensing contract of intellectual property, the restrictive clauses do list summary; discusses the necessity of anti-monopoly law to regulate the abuse of intellectual property right respectively; the legislation and practice of anti monopoly law regulation of abuse of intellectual property rights in the United States and the European Union are analyzed, and make comparison and summary of the legal regulation of the characteristics; analysis of anti-monopoly law to regulate the abuse of intellectual property rights limitation, and summarize the characteristics of regulation of anti-monopoly law in our country and needs to be improved.
The third chapter is "the legal regulation of" refuse to license in the international technology trade, has the reason to refuse to license the classification analysis; put forward to the method of regulation should permit refused to distinguish regulation of intellectual property law and anti-monopoly law, and the two aspects were discussed: the compulsory licensing regulation refused permission for the law of intellectual property right of the exposition, the characteristics of TRIPS agreement and China's intellectual property law in the compulsory licensing system and is suitable for the legal regulation of refusing tolicense were discussed; in the EU Magill case, IMS case, Spundfass case, Germany, the European Union and the United States of Microsoft refuse to license the judicial determination for the analysis of intellectual property rights cases, refused to permit the antitrust regulation of the "new product rules" and "critical infrastructure" rules.
The fourth chapter is "the legal regulation of patent holder is the implementation of the patent, the patent holder is patent reason, performance analysis and illegality; analysis of national legislation and the" Paris Convention "patent > in the local implementation of requirements of the implementation of the legal regulation of behavior, the revision of the Patent Law and I after the country in the implementation of the patent compulsory license is not the provisions of the Paris convention; fifth < > paragraph A in the" local patent implementation requirements "provisions of article twenty-seventh of the TRIPS agreement and the contradiction between" Paris Convention "and the relationship between the RTIPS protocol," local patent implementation requirements "relationship between compulsory and TRIPS protocol thirty-first patent licensing system, and how to interpret the provisions of the TRIPS agreement in article twenty-seventh, three levels of discourse, the" Paris Convention "> in the local implementation of patent requirements provisions and article twenty-seventh of the TRIPS agreement is not contradictory, It is a part of the compulsory license system of patents, a restriction on the rights of patenpersons. It is a reflection of public health policy and public interest goal of TRIPS agreement, and is conducive to promoting the progress of science and technology and economic development of member countries.
Conclusion according to the theoretical basis, the four part of the legal regulation of the abuse of intellectual property rights concept, behavior and legal rules discussed, ideas and constructing of the legal regulation system of the abuse of intellectual property rights, we should combine the intellectual property law and anti-monopoly law and other relevant departments to form a comprehensive legal regulation system the abuse of intellectual property, and puts forward some suggestions to perfect to amend and supplement the provisions of the relevant laws in China.

【学位授予单位】：中国政法大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D996;D997.1

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