禁止反悔原则的司法适用

发布时间：2019-02-23 16:42

【摘要】：禁止反悔原则是在司法实践中对于等同原则的一个重要的限制性原则,两者互相制约相互依存。相对而言,我国禁止反悔原则的理论研究还不够深入,司法适用还不够明确。同时,由于我国专利制度的发展期限相对较短,经验不够丰富,在立法中没有为专利侵权判定中如何适用禁止反悔原则提供一个严谨、具体并且操作性强的标准。为了解决禁止反悔原则的司法适用问题,完善该原则在我国司法的适用,本文从以下几个方面进行了论述与研究。引言部分以“中誉电子(上海)有限公司与上海九鹰电子科技有限公司侵犯实用新型专利纠纷”一案(以下称中誉案)作为开端,简明扼要的说明了该案需要澄清的问题,之后介绍了禁止反悔原则的作用以及该原则在我国的立法情况。正文部分是本文的主体,由六部分组成。介绍了中誉案的判决结果以及点名提出适用争议问题、分析了这些问题及提出适用建议。最后进一步总结。第一部分主要关于中誉案的判决结果以及争议的焦点问题,旨在引出问题。第二部分分析了未修改权利要求书是否导致禁止反悔原则的适用。从主观意图、诚实信用原则、权利保护范围以及技术特征可否限缩等方面阐述未对权利要求书进行修改并不导致适用禁止反悔原则。第三部分探讨了增加新的技术特征是否应当被认定为放弃的问题。从“增加新的技术特征可以是权利要求书的修改方式”到“增加技术特征等方式是如何被认定为放弃”的思路对其进行讨论,得出了结论,即但凡采用增加技术特征等方式缩小了专利权的保护范围,就必然有所“放弃”。第四部分是关于法院能否主动适用禁止反悔原则。在该部分中笔者讨论了法院主动适用禁止反悔原则的可行性与必要性,并更进一步讨论了适用禁止反悔原则后弹性排除与完全排除的合理性。第五部分对无效宣告过程中对权利要求书进行的修改是否都导致禁止反悔原则的适用的问题进行了释明。指出只有技术方案的删除之后可以自然适用禁止反悔原则。第六部分归纳了禁止反悔原则在司法适用中的问题并提出了适用建议,以完善禁止反悔原则在我国的适用。
[Abstract]:Estoppel principle is an important restrictive principle for the principle of equivalence in judicial practice. Comparatively speaking, the theoretical study of estoppel principle in China is not deep enough and judicial application is not clear enough. At the same time, because the development period of patent system in our country is relatively short and the experience is not rich enough, there is no strict, concrete and operable standard for how to apply the estoppel principle in the legislation of patent infringement adjudication. In order to solve the problem of judicial application of estoppel principle and perfect the application of this principle in our country, this paper discusses and studies it from the following aspects. The introduction begins with the case of "Zhongyu Electronics (Shanghai) Co., Ltd. and Shanghai Jiuying Electronic Technology Co., Ltd., infringing on the patent dispute over utility models" (hereinafter referred to as the Zhongyu case), briefly and succinctly explaining the issues that need to be clarified in this case. Then it introduces the function of estoppel principle and its legislation in our country. The text is the main body of this paper, which consists of six parts. This paper introduces the judgment result of Zhongguo case and puts forward the dispute of application by name, analyzes these problems and puts forward some applicable suggestions. Finally, a further summary is given. The first part is mainly about the result of the judgment and the focus of the dispute, aiming to lead to the problem. The second part analyzes whether the unmodified claim results in the application of estoppel principle. From the subjective intention, the principle of good faith, the scope of the right protection and whether the technical characteristics can be reduced, it is explained that the failure to modify the claim does not lead to the application of the estoppel principle. The third part discusses whether the addition of new technical features should be considered as abandonment. From the idea that "adding new technical features can be the way to modify the claim" to "how to add the technical feature is considered to be abandoned", the conclusion is drawn. That is to say, if we narrow down the scope of patent protection by means of increasing technical features, we must give up. The fourth part is about whether the court can apply estoppel principle on its own initiative. In this part, the author discusses the feasibility and necessity for the court to apply the estoppel principle on its own initiative, and further discusses the rationality of elastic exclusion and complete exclusion after applying the estoppel principle. The fifth part explains whether the modification of claim in the process of invalidation leads to the application of estoppel principle. It is pointed out that the estoppel principle can be applied naturally only after the deletion of the technical scheme. The sixth part summarizes the problem of estoppel principle in judicial application and puts forward some suggestions to perfect the application of estoppel principle in our country.
【学位授予单位】：清华大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：D923.42

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