强制性国家技术标准与专利权关系研究报告

1、236/279强制性国家技术标准与专利权关系研究报告课题组成员：张平（北京大学）、赵启杉（上海大学）何怀文、吴成剑 （北京大学）费清清、李佳晶、陈敏、周媛、翁儒复 （上海大学）2006年1月强制性国家技术标准与专利权关系研究报告目录中文摘要英文摘要总报告正文总报告附表分报告美国国家标准制定中的专利政策IEEE标准组织及其专利政策的介绍和分析欧洲电信标准协会与共同的欧洲标准化组织的专利政策注定的软弱评国际电信联盟的专利政策英国标准化学会(BSI)的专利政策美国食品与药品监督局（FDA）法规介绍US EPA与标准制度研究报告AVS专利政策研究将必要专利纳入强制性国家标准行为的法律性质分析Rambu

2、s案例情况介绍国家强制性技术标准与专利权关系研究报告摘要：*857随000着世界经济向区域化、全球化方向的进展以及现代科学技术在生产、贸易中作用的日益凸现，出现了技术标准与专利权相结合现象。事实证明技术标准和专利权的结合是科学技术和社会经济进展的必定结果。技术标准和专利权的结合能够提升二者的市场阻碍力，但同时也带来了一系列专利纠纷。由于国家标准是我国的标准体系中效力层次最高、阻碍最广、最体现社会公共利益的一类标准，因此一旦在国家技术标准的制定和实施中出现这些专利纠纷，就可能会给国家安全、人民生命健康以及社会公共利益带来巨大的不利阻碍。要妥善地解决国家技术标准与专利权之间的冲突必须将我国标准体系

3、的改进与专利制度的完善相结合，必须综合运用法律、行政法规、行政规章以及相关司法解释等法律渊源进行全面合理地规制。有鉴于此，本报告拟就国家技术标准与专利权的关系进行研究，分析在国家技术标准的制定与执行时可能出现的专利纠纷，将国外先进经验与我国实际国情相结合，研究解决这些专利纠纷的途径，为我国相关立法提出合理的建议和意见。需要讲明的一点是，本课题立项的时候拟定的题目为“国家强制性技术标准与专利权关系”，通过征询有关专家的意见，认为该表述不够准确。在我国，标准按照标准效力等级可分为国家标准、行业标准、地点标准和企业标准；按照标准强制效力的有无能够划分为强制性标准和推举性标准。因此在我国，国家标准分为

4、强制性国家标准和推举性国家标准，而强制性标准分为强制性国家标准和强制性行业标准。如上所述的标准体系与国外发达国家的标准体系具有较大的差异。考虑到本课题立项的初衷和适应我国标准化体系改革的需要，本报告仅就国家标准进行研究。本报告分由总报告及其附件以及十个分报告组成。总报告分为以下四部分。第一部分“技术标准与专利权的结合”要紧就国家技术标准与专利权的关系进行深入研究分析。总报告从技术标准与专利权结合的缘故分析入手，得出三点结论：（1）专利权与标准的结合是社会科学技术、经济活动进展的必定结果，特不在高科技领域几乎是无可幸免的；（2）在研究技术标准与专利权的关系时需要考虑到三方主体的利益，一是专利权人

5、的合法权益，二是标准化组织制定和推行标准的权利，三是作为标准使用者的社会公众的权益。忽略任何一方的权益差不多上不可取的；（3）标准化组织需要制定相应的专利权政策，以求对专利权人行使标准所涉及的专利权的行为进行正确的规制和引导，然而基于标准化组织自身的性质，标准化组织本身不能完全承担有效约束和引导专利权人的职责，而是需要与专利的行政治理机关相互合作，幸免出现全盘否定专利权人利益或者为维护专利权人的利益而阻碍技术标准正常制定与实施的情况。在此基础上，报告分析了专利权与技术标准结合的方式，并总结了技术标准与专利权结合后容易产生的问题。报告认为就目前而言，技术标准与专利权结合后容易产生的法律问题要紧包

6、括：1.出现在技术标准中的专利技术是没有获得专利权人许可的，导致标准使用人无可适从；2.专利权人拒绝许可导致技术标准无法出台；3.专利权人在标准制定过程中有意不披露相关专利权信息以猎取不正当利益；4.专利权人利用标准制定进行联合抵制；5.交叉许可和专利联营中的专利权滥用问题。就国家技术标准而言，要紧容易出现前三种法律问题。第二部分“美国、欧盟国家技术标准中专利政策研究”要紧着眼于对国外国家标准体系和相应专利政策的梳理和分析。首先，通过研究我们发觉，我国的国家技术标准的含义、分类和制定模式与发达国家所普遍采纳的体系有专门大的差异，特不是在大多数发达国家并没有与我国强制性国家标准内涵完全一致的概念

7、。假如我们仅仅按照“强制性国家技术标准”进行检索则无法检索到有价值的研究资料，因此本报告将研究范围扩展到了“强制性/推举性国家标准”的范畴。在此基础上，我们分不收集整理了美国、欧盟自愿性/推举性国家技术标准制定中的专利政策，并对美国欧盟自愿性标准向强制性标准转化的模式进行了分析，较全面系统地展示了美国欧盟国家标准体系的构成及其专利政策的要点。在第二部分的最后，我们对美国、欧盟国家技术标准中专利政策的成因进行了分析，并得出结论：美国、欧盟标准化组织的专利政策是与其标准化体系相适应的，而其标准化体系的建立又是以这些国家社会经济状况、科学技术进展水平和整体法律环境相适应的。假如完全无视我国标准化体系

8、与美国、欧盟标准化体系的差异，无视我国社会经济、法律、技术进展状况的特点，照搬发达国家的专利政策将导致因无法有效防止和妥善解决国家技术标准中的专利纠纷问题而严峻阻碍我国国家技术标准制定实施的后果。总报告第三部分“我国国家技术标准体系及其专利政策研究”从对我国国家技术标准体系概况的介绍分析入手，对目前我国国家标准中专利政策情况进行了归纳总结与分析，就其中不合理之处进行了详细阐述。对我国目前正在制定的国家技术标准中的专利政策，我们总的看法是（1）将专利技术排除在强制性国家标准之外不科学；（2）国家标准化委员会在推举性国家标准专利政策上的态度应该更强硬；（3）在反垄断法缺位的情况下，国家标准化治理委

9、员会和国家专利局应该承担更多的职责，保障国家标准的制定与实施。我们认为国家标准中的专利政策必须与一国的标准体系相协调，而该标准体系又必须反映该国科学技术、社会经济和法律制度的特点。以此为动身点，我们就完善我国国家标准体系及其专利政策提出了三套建议方案，分不阐述其要点和利弊，供有关立法行政部门进行参考。总报告第四部分就国家技术标准中纳入专利后对专利法的冲击和可能的专利法修改进行了论述。本部分报告以国家技术标准中可能出现的专利纠纷为切入点，分不分析了这些专利纠纷的表现方式和产生缘故，并详细设计了解决这些纠纷的法律途径。首先，报告建议通过完善对发明专利的审查制度和综合运用标准化领域的行政法规、规章、

10、专利法中的无效审查制度等法律途径，解决由信息不对称引发的专利权与国家技术标准相冲突问题。其次，报告建议，通过对发明专利实质性审查制度的完善解决由于国家技术标准中专利技术状况不明确而阻碍标准制定实施问题；最后报告以第三部分所设计的三套国家标准体系及其专利政策方案为基础，提出综合运用专利强制许可制度、托付代理合同和居间合同以及对专利权滥用的反垄断规制解决专利权人拒绝许可阻碍国家技术标准制定实施的问题。在总报告附件中，我们以表格的方式排列了解决上述三方面问题所涉及的对法律法规司法解释以及行政规章的修改内容；并就为解决第三个问题所设计三种方案的要点进行了归纳总结。最后，总报告中受篇幅所限无法展开的细节

11、论述在本报告的若干分报告中得以详细阐释。本报告的分报告包括： 美国国家标准制定中的专利政策、IEEE标准组织及其专利政策的介绍与分析、欧洲电信标准协会与公共的欧洲标准化组织的专利政策、注定的软弱评国际电信联盟的专利政策英国标准化学会（BSI）的专利政策、美国食品与药品监督局（FDA）法规介绍、US EPA与标准制度研究报告、AVS专利政策研究、将必要专利纳入强制性国家标准行为的法律性质分析Rambus案例情况介绍。关键词：强制性/推举性国家技术标准；专利权；披露义务；合理非卑视许可；强制许可Research report on the relationship between national

12、 compulsory technical standards and patent rightAbstract: With the development of economic regionalization and globalization all over the world, and with the increase of challenges of modern science in the field of production and trade, there is a phenomenon that technology standards are combined wi

13、th patent rights. The facts prove that this combination is the logical result of the development of scientific technology and social economy, which can improve their market power, might while can also bring a series of patent disputes. The national standards are the kind of standards with the highes

14、t level of effectiveness and the widest influence in our standard system, which reflect the social benefit. Once there appear these patent disputes in the process of constituting and carrying out the national technology standards, great disadvantages will be brought to national security, peoples hea

15、lth of life and social benefits. If we want to solve the disputes between national technology standards and patent rights, we must combine the improvement of our standard system with the promotion of patent system while we must integrate laws with administrative rules and regulations and related jud

16、icial explanation to program the entire system properly.In view of this, we drew up our reports to study of the relation between national technical standards and patent rights, and analyze the patent disputes when they probably occurred in process of the constituting and carrying out the national te

17、chnical standards. In doing so, we should combine the real realities of our country with the advance experience abroad in order to find the ways of solving these patent disputes, which can provide appropriate ideas for our related legislation. At the same time, what was to add was about the subject

18、of our task. At first, our subject was “the Relation between national compulsory standards and patent rights”. But later, after we inquired of the related experts about it, they also thought this statement was not absolutely accurate. The reason was as follows: according to effect scale, standards c

19、onsist of several groups of national standards, industry standards and enterprise standards while according to the existence of obligation of standards, standards can also be divided into compulsory standards and recommended standards. As a result, our national standards consist of recommended natio

20、nal standards, and national compulsory standards, which also include national compulsory standards and obligatory industry standards. From this, it was clear to see that our standard system is obviously different from the standard system of the developed countries abroad. So considering the purpose

21、of establishing the subject and the needs of our standard system reform, our reports were studied about our national standards.Our reports consist of the following tow parts, one general report with its attachments and several sub-reports. The general report is divided into four parts. The first par

22、t is “Combination of technical standards and the patent right” .It mainly aimed at the relationship between national technical standards and the patent right. The general report analyses the reason of the combination of technical standards and the patent right and gets three conclusions: （1）With the

23、 development of scientific technology and social economy, the technical standards are necessarily combined with the patent right, especially in the fields of high-tech;（2）While researching the relationship of technical standards and the patent right, it must consider the benefits of such three subje

24、cts. the lawful benefits of the patent holders, the right of the standardization organization formulating and enforcing the standards and the benefits of the public, or in a other word, the user of the standards. It is not good to ignore any of the subjects benefits.（3）The standardization organizati

25、on needs to formulate its corresponding patent policies which could correctly restrict and guide the conduct of the patent holders when they exercise the right of patent in the standards. In case of the nature of the standardization organization, it cannot entirely undertake the responsibility of re

26、stricting and guiding the patent holders. In stead, it need to cooperate with administrative authority, avoiding the situation that the benefits of the patent holders are firmly squashed or the normal formulation and enforcement of the technical standards are obstructed in order to uphold the benefi

27、ts of the patent holders. Our report analyses how the patent right combine with the technical standards and summarize the problems that could easily come to. First of all, if the patents in the standards are unauthorized, the users of the standards will fall into trouble. Secondly, the standard coul

28、d not come into existence if the patent holders refuse to license the related patents. Thirdly, during the formulation of the standards, the patent holders will not disclosure the information about the patent right intentionally in order to get unjust enrichment. Fourthly, some of the patent holders

29、 may boycott the standard users making use of the standard. Fifthly, the abuse of patent right may take place in the cross-license and patent pool. In term of the national technical standards, it is easily cause the first three problems.The second part is “The research of the patent policies on nati

30、onal technical standards in USA and EU”. It mainly focuses on analyzing the foreign national standard system and corresponding patent policies. First of all, after research, we find that the definition, classification and formulation mode of the national technical standards in our country differ fro

31、m the system generally adopted by the developed counties, especially most of the developed counties dont use the concept of national compulsory standards. If we search information according to the key words of national compulsory standards, we would find no more valuable data, in doing so, we expand

32、 the research area to national compulsory/voluntary standards. We respectively collect the patent policies of national voluntary standards in USA and EU, analyze the mode of its transformation from voluntary standards to compulsory standards, and display the national standards system of USA and EU,

33、and the key points of their patent policies. In this part, we finally analyze the cause of formation of the patent policies, and come into a conclusion: the patent policies of the USA and EU standardization organizations adjust to their standardization system, while the construction of their standar

34、dization system adjusts to such countries social economy condition, the development of scientific technologies, overall law environment. If we entirely ignore the difference between our countrys standardization system and that of USAs and EUs, totally blink our countrys characteristic of social econ

35、omy, law and technology development, copying the developed countries patent policies would lead to such result that because we cannot effectively prevent and properly resolve the patent dispute, the formulation and enforcement of our countrys national technical standards are severely hindered.The th

36、ird part of the general report is “The system of national technical standards and the study of the patent policy”, it begins with the general introduction of the system of the national technical standards, in this part, we analyze and summary the present patent policy of the national standards, expo

37、unding some unreasonable policy in detail. In term of the present patent policy of the national technical standards, our opinions are as follows: （1）It is unreasonable to exclude patented techniques from national standards;（2）Standards Administration Committee Peoples Republic of China should formul

38、ate more tough policy in the national voluntary standards;（3）Without Antitrust Law, Standards Administration Committee and the Patent Office of the Peoples Republic of China should undertake more responsibility in order to ensure the formulation and enforcement of the national standards. We consider

39、 that the patent policy of the national standards should coordinate the standardization system of a country, and the system should reflect the feature of scientific technology, social economy, institution of law. On the basis of them, we put forward three scheme, analyzing the points, advantages and

40、 disadvantages respectively, to provide a reference to legislation administration.The fourth part discusses the attack to national technical standards after the patents are brought into the standards, and the possible amendment of patent law. In this part, we make the possible patent disputes as poi

41、nt of penetration, analyze the mode and reason of such patent disputes, and design the legal ways of resolving these disputes. First of all, our report suggests that we should resolve the attack between the patent right and national technical standards by means of perfecting the examination of the p

42、atent of invention and of using the administration legislation, regulations and the system of invalidity examination in patent law. Secondly, our report suggests that it could resolve problem by means of perfecting the system of the substantive examination that the formulation and enforcement of the

43、 standards are influenced as the patent technologies in the national technical standard are not definite. At last, on the basis of the three schemes about national standard system and its patent policies designed in the third part of the general report, the report put forward the ways how to resolve

44、 problem that the formulation and enforcement of national technical standards are influenced because of patent holders refusal licence by means of the patent obligatory licence system, agency by commission contract and mediacy contract as well as anti-trust examine on the abuse of the patent right.I

45、n order to make three projects of our reports perfect, we reduced our projects to several main issues by means of forms mode in enclosure one of our general reports. At the same time, in order to make the amendment of patent act and its related institution of law, we summed up the original regulatio

46、ns, statements of amendment and analysis of advantages and disadvantages in forms mode in enclosure two of our general report.Finally, for the lack of the space in our general report we can not expand our reports perfectly, so we explain them in detail in our several partial reports. Key Words: nati

47、onal compulsory/recommended standard; patent right; disclosure duty; RAND licence; obligatory licence国家强制性技术标准与专利权关系总报告目录 TOC o 1-2 h z u HYPERLINK l _Toc125807338 前言 PAGEREF _Toc125807338 h 1 HYPERLINK l _Toc125807339 第一部分 技术标准与专利权的结合 PAGEREF _Toc125807339 h 2 HYPERLINK l _Toc125807340 一、技术标准的概念和种类

48、 PAGEREF _Toc125807340 h 2 HYPERLINK l _Toc125807341 二、技术标准与专利权结合的缘故分析 PAGEREF _Toc125807341 h 3 HYPERLINK l _Toc125807342 (一)标准的科学性与“专利灌丛”现象 PAGEREF _Toc125807342 h 3 HYPERLINK l _Toc125807343 (二)标准的协商基础与专利权的专有性 PAGEREF _Toc125807343 h 4 HYPERLINK l _Toc125807344 (三)标准的本质与专利权权利的行使 PAGEREF _Toc12580

49、7344 h 6 HYPERLINK l _Toc125807345 三、技术标准与专利权结合的方式 PAGEREF _Toc125807345 h 7 HYPERLINK l _Toc125807346 四、技术标准与专利权结合后容易产生的问题 PAGEREF _Toc125807346 h 8 HYPERLINK l _Toc125807347 (一)出现在技术标准中的专利技术是没有获得专利权人许可的，导致标准使用人无可适从 PAGEREF _Toc125807347 h 8 HYPERLINK l _Toc125807348 (二)专利权人拒绝许可导致技术标准无法出台 PAGEREF _

50、Toc125807348 h 10 HYPERLINK l _Toc125807349 (三)专利权人在标准制定过程中有意不披露相关知识产权信息以猎取不正当利益 PAGEREF _Toc125807349 h 11 HYPERLINK l _Toc125807350 (四)专利权人利用标准制定进行联合抵制 PAGEREF _Toc125807350 h 12 HYPERLINK l _Toc125807351 (五)交叉许可和专利联营 PAGEREF _Toc125807351 h 13 HYPERLINK l _Toc125807352 五、从技术标准与专利权关系分析中得出的几点结论 PAG

51、EREF _Toc125807352 h 14 HYPERLINK l _Toc125807353 第二部分 美国、欧盟国家技术标准中专利政策研究 PAGEREF _Toc125807353 h 15 HYPERLINK l _Toc125807354 一、国家技术标准的含义、分类和制定模式 PAGEREF _Toc125807354 h 15 HYPERLINK l _Toc125807355 二、美国、欧盟自愿性/推举性国家技术标准制定中的专利政策 PAGEREF _Toc125807355 h 18 HYPERLINK l _Toc125807356 (一)美国自愿性/推举性国家技术标准

52、制定中的专利政策 PAGEREF _Toc125807356 h 18 HYPERLINK l _Toc125807357 (二)欧盟协调标准制定中的专利政策 PAGEREF _Toc125807357 h 25 HYPERLINK l _Toc125807358 (三)美国、欧盟国家自愿性/推举性技术标准制定中专利政策的要点 PAGEREF _Toc125807358 h 30 HYPERLINK l _Toc125807359 三、美国欧盟强制性国家技术标准制定中的专利政策 PAGEREF _Toc125807359 h 32 HYPERLINK l _Toc125807360 (一)自愿

53、性标准向强制性标准转化的模式 PAGEREF _Toc125807360 h 32 HYPERLINK l _Toc125807361 (二)在国家强制性技术标准中纳入专利权需要注意的问题 PAGEREF _Toc125807361 h 34 HYPERLINK l _Toc125807362 四、对美国、欧盟国家技术标准中专利政策的成因分析 PAGEREF _Toc125807362 h 35 HYPERLINK l _Toc125807363 (一)美国、欧盟标准体系的特点及其成因分析 PAGEREF _Toc125807363 h 35 HYPERLINK l _Toc125807364

54、 (二)美国、欧盟标准化组织专利政策的成因分析 PAGEREF _Toc125807364 h 39 HYPERLINK l _Toc125807365 第三部分 我国国家技术标准体系及其专利政策研究 PAGEREF _Toc125807365 h 41 HYPERLINK l _Toc125807366 一、我国国家技术标准体系概况 PAGEREF _Toc125807366 h 41 HYPERLINK l _Toc125807367 (一) 国家标准的制定与实施有浓厚的行政色彩 PAGEREF _Toc125807367 h 41 HYPERLINK l _Toc125807368 (二

55、) 强制性技术标准规定详细的技术内容且涉及的范围较宽 PAGEREF _Toc125807368 h 42 HYPERLINK l _Toc125807369 (三) 认证机构不发达，合格评定体系尚不完善 PAGEREF _Toc125807369 h 43 HYPERLINK l _Toc125807370 二、我国国家标准中专利政策概况及分析 PAGEREF _Toc125807370 h 43 HYPERLINK l _Toc125807371 (一) 将专利技术排除在强制性国家标准之外不科学 PAGEREF _Toc125807371 h 45 HYPERLINK l _Toc1258

56、07372 (二) 国家标准化治理委员会在推举性国家标准专利政策上的态度应该更强硬 PAGEREF _Toc125807372 h 47 HYPERLINK l _Toc125807373 (三) 在反垄断法缺位的情况下，国家标准化治理委员会和国家专利局应该承担更多的责任，保障国家标准的制定与实施 PAGEREF _Toc125807373 h 47 HYPERLINK l _Toc125807374 三、对我国国家标准体系及其专利政策的总体构想 PAGEREF _Toc125807374 h 48 HYPERLINK l _Toc125807375 (一) 方案一：强制性国家标准推举性国家标

57、准 PAGEREF _Toc125807375 h 49 HYPERLINK l _Toc125807376 (二)方案二：技术标准技术法规 PAGEREF _Toc125807376 h 56 HYPERLINK l _Toc125807377 (三)方案三：国家标准统一体系 PAGEREF _Toc125807377 h 59 HYPERLINK l _Toc125807378 第四部分 国家技术标准中纳入专利后对专利法的冲击和可能的专利法修改 PAGEREF _Toc125807378 h 62 HYPERLINK l _Toc125807379 一、解决由信息不对称引发的专利权与国家技

58、术标准相冲突问题的方法 PAGEREF _Toc125807379 h 62 HYPERLINK l _Toc125807380 (一)标准在前，申请的专利与之冲突 PAGEREF _Toc125807380 h 62 HYPERLINK l _Toc125807381 (二)专利在前，制定标准与之冲突 PAGEREF _Toc125807381 h 65 HYPERLINK l _Toc125807382 二、解决由于国家技术标准中专利技术状况不明确而阻碍标准制定实施问题的方法 PAGEREF _Toc125807382 h 69 HYPERLINK l _Toc125807383 三、解决

59、专利权人拒绝许可阻碍国家技术标准制定实施问题的方法 PAGEREF _Toc125807383 h 72 HYPERLINK l _Toc125807384 (一) 方案一：“强制性国家标准推举性国家标准”方案所涉及的制度增补与修改 PAGEREF _Toc125807384 h 72 HYPERLINK l _Toc125807385 (二) 方案二：“技术标准技术法规”方案所涉及的制度增补与修改 PAGEREF _Toc125807385 h 81 HYPERLINK l _Toc125807386 (三) 方案三：“国家标准统一体系”方案所涉及的制度增补与修改 PAGEREF _Toc1

60、25807386 h 82 HYPERLINK l _Toc125807387 结 语 PAGEREF _Toc125807387 h 82国家强制性技术标准与专利权关系研究报告前言随着世界经济向区域化、全球化方向的进展以及现代科学技术在生产、贸易中作用的日益凸现，出现了技术标准与专利权相结合现象。事实证明技术标准和专利权的结合是科学技术和社会经济进展的必定结果。技术标准和专利权的结合能够提升二者的市场阻碍力，但同时也带来了一系列法律纠纷。就目前而言，技术标准与专利权结合后容易产生的法律问题要紧包括：1.出现在技术标准中的专利技术是没有获得专利权人许可的，导致标准使用人无可适从；2.专利权人拒