强制性国家技术标准与专利权关系研究报告模板.doc

强制性国家技术标准和专利权关系研究汇报课题组组员： 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）1月强制性国家技术标准和专利权关系研究汇报目录汉字摘要英文摘要总汇报正文总汇报附表分汇报 美国国家标准制订中专利政策 IEEE标准组织及其专利政策介绍和分析 欧洲电信标准协会和共同欧洲标准化组织专利政策 注定软弱评国际电信联盟专利政策 英国家标准准化学会(BSI)专利政策 美国食品和药品监督局（FDA）法规介绍 US EPA和标准制度研究汇报 AVS专利政策研究 将必需专利纳入强制性国家标准行为法律性质分析 Rambus案例情况介绍国家强制性技术标准和专利权关系研究汇报摘要：*857随000着世界经济向区域化、全球化方向发展和现代科学技术在生产、贸易中作用日益凸现，出现了技术标准和专利权相结合现象。事实证实技术标准和专利权结合是科学技术和社会经济发展肯定结果。技术标准和专利权结合能够提升二者市场影响力，但同时也带来了一系列专利纠纷。因为国家标准是中国标准体系中效力层次最高、影响最广、最表现社会公共利益一类标准，所以一旦在国家技术标准制订和实施中出现这些专利纠纷，就可能会给国家安全、人民生命健康和社会公共利益带来巨大不利影响。要妥善地处理国家技术标准和专利权之间冲突必需将中国家标准准体系改善和专利制度完善相结合，必需综合运使用方法律、行政法规、行政规章和相关司法解释等法律渊源进行全方面合理地规制。有鉴于此，本汇报拟就国家技术标准和专利权关系进行研究，分析在国家技术标准制订和实施时可能出现专利纠纷，将国外优异经验和中国实际国情相结合，研究处理这些专利纠纷路径，为中国相关立法提出合理提议和意见。需要说明一点是，本课题立项时候确定题目为“国家强制性技术标准和专利权关系”，经过咨询相关教授意见，认为该表述不够正确。在中国，标准根据标准效力等级可分为国家标准、行业标准、地方标准和企业标准；根据标准强制效力有没有能够划分为强制性标准和推荐性标准。所以在中国，国家标准分为强制性国家标准和推荐性国家标准，而强制性标准分为强制性国家标准和强制性行业标准。如上所述标准体系和国外发达国家标准体系含有较大差异。考虑到本课题立项初衷和适应中国家标准准化体系改革需要，本汇报仅就国家标准进行研究。本汇报分由总汇报及其附件和十个分汇报组成。总汇报分为以下四部分。第一部分“技术标准和专利权结合”关键就国家技术标准和专利权关系进行深入研究分析。总汇报从技术标准和专利权结合原因分析入手，得出三点结论：（1）专利权和标准结合是社会科学技术、经济活动发展肯定结果，尤其在高科技领域几乎是无可避免；（2）在研究技术标准和专利权关系时需要考虑到三方主体利益，一是专利权人正当权益，二是标准化组织制订和推行标准权利，三是作为标准使用者社会公众权益。忽略任何一方权益全部是不可取；（3）标准化组织需要制订对应专利权政策，以求对专利权人行使标准所包含专利权行为进行正确规制和引导，不过基于标准化组织本身性质，标准化组织本身不能完全负担有效约束和引导专利权人职责，而是需要和专利行政管理机关相互合作，避免出现全盘否定专利权人利益或为维护专利权人利益而妨碍技术标准正常制订和实施情况。在此基础上，汇报分析了专利权和技术标准结合方法，并总结了技术标准和专利权结合后轻易产生问题。汇报认为就现在而言，技术标准和专利权结合后轻易产生法律问题关键包含：1.出现在技术标准中专利技术是没有取得专利权人许可，造成标准使用人无可适从；2.专利权人拒绝许可造成技术标准无法出台；3.专利权人在标准制订过程中有意不披露相关专利权信息以获取不正当利益；4.专利权人利用标准制订进行联合抵制；5.交叉许可和专利联营中专利权滥用问题。就国家技术标准而言，关键轻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”关键着眼于对国外国家标准体系和对应专利政策梳理和分析。首先，经过研究我们发觉，中国国家技术标准含义、分类和制订模式和发达国家所普遍采取体系有很大差异，尤其是在大多数发达国家并没有和中国强制性国家标准内涵完全一致概念。假如我们仅仅根据“强制性国家技术标准”进行检索则无法检索到有价值研究资料，所以本汇报将研究范围扩展到了“强制性/推荐性国家标准”范围。在此基础上，我们分别搜集整理了美国、欧盟自愿性/推荐性国家技术标准制订中专利政策，并对美国欧盟自愿性标准向强制性标准转化模式进行了分析，较全方面系统地展示了美国欧盟国家标准体系组成及其专利政策关键点。在第二部分最终，我们对美国、欧盟国家技术标准中专利政策成因进行了分析，并得出结论：美国、欧盟标准化组织专利政策是和其标准化体系相适应，而其标准化体系建立又是以这些国家社会经济情况、科学技术发展水平和整体法律环境相适应。假如完全无视中国家标准准化体系和美国、欧盟标准化体系差异，无视中国社会经济、法律、技术发展情况特点，照搬发达国家专利政策将造成因无法有效预防和妥善处理国家技术标准中专利纠纷问题而严重阻碍中国国家技术标准制订实施后果。总汇报第三部分“中国国家技术标准体系及其专利政策研究”从对中国国家技术标准体系概况介绍分析入手，对现在中国国家标准中专利政策情况进行了归纳总结和分析，就其中不合理之处进行了具体叙述。对中国现在正在制订国家技术标准中专利政策，我们总见解是（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荐性国家标准专利政策上态度应该更强硬；（3）在反垄断法缺位情况下，国家标准化管理委员会和国家专利局应该负担更多职责，保障国家标准制订和实施。我们认为国家标准中专利政策必需和一国标准体系相协调，而该标准体系又必需反应该国科学技术、社会经济和法律制度特点。以此为出发点，我们就完善中国国家标准体系及其专利政策提出了三套提议方案，分别叙述其关键点和利弊，供相关立法行政部门进行参考。总汇报第四部分就国家技术标准中纳入专利后对专利法冲击和可能专利法修改善行了叙述。本部分汇报以国家技术标准中可能出现专利纠纷为切入点，分别分析了这些专利纠纷表现方法和产生原因，并具体设计了处理这些纠纷法律路径。首先，汇报提议经过完善对发明专利审查制度和综合利用标准化领域行政法规、规章、专利法中无效审查制度等法律路径，处理由信息不对称引发专利权和国家技术标准相冲突问题。其次，汇报提议，经过对发明专利实质性审查制度完善处理因为国家技术标准中专利技术情况不明确而影响标准制订实施问题；最终汇报以第三部分所设计三套国家标准体系及其专利政策方案为基础，提出综合利用专利强制许可制度、委托代理协议和居间协议和对专利权滥用反垄断规制处理专利权人拒绝许可影响国家技术标准制订实施问题。在总汇报附件中，我们以表格方法罗列了处理上述三方面问题所包含对法律法规司法解释和行政规章修改内容；并就为处理第三个问题所设计三种方案关键点进行了归纳总结。最终，总汇报中受篇幅所限无法展开细节叙述在本汇报若干分汇报中得以具体阐释。本汇报分汇报包含： 美国国家标准制订中专利政策、IEEE标准组织及其专利政策介绍和分析、欧洲电信标准协会和公共欧洲标准化组织专利政策、注定软弱评国际电信联盟专利政策英国家标准准化学会（BSI）专利政策、美国食品和药品监督局（FDA）法规介绍、US EPA和标准制度研究汇报、AVS专利政策研究、将必需专利纳入强制性国家标准行为法律性质分析Rambus案例情况介绍。关键词：强制性/推荐性国家技术标准；专利权；披露义务；合理非歧视许可；强制许可Research report on the relationship between national 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 with 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 highest 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 health 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 judicial 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 technical 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 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 consist 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 national 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 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 part 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 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 subjects. 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 organization 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 restricting 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 benefits 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 could 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 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 national 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 from 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 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, 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 standardization 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 economy, 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 third 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, expounding 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 formulate 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 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 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 point 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 patent 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 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 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.In 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 regulations, 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: national compulsory/recommended standard; patent right; disclosure duty; RAND licence; obligatory licence国家强制性技术标准和专利权关系总汇报目录序言1第一部分 技术标准和专利权结合2一、技术标准概念和种类2二、技术标准和专利权结合原因分析3(一)标准科学性和“专利灌丛”现象3(二)标准协商基础和专利权专有性4(三)标准本质和专利权权利行使6三、技术标准和专利权结合方法7四、技术标准和专利权结合后轻易产生问题8(一)出现在技术标准中专利技术是没有取得专利权人许可，造成标准使用人无可适从8(二)专利权人拒绝许可造成技术标准无法出台10(三)专利权人在标准制订过程中有意不披露相关知识产权信息以获取不正当利益11(四)专利权人利用标准制订进行联合抵制12(五)交叉许可和专利联营13五、从技术标准和专利权关系分析中得出几点结论14第二部分 美国、欧盟国家技术标准中专利政策研究15一、国家技术标准含义、分类和制订模式15二、美国、欧盟自愿性/推荐性国家技术标准制订中专利政策18(一)美国自愿性/推荐性国家技术标准制订中专利政策18(二)欧盟协调标准制订中专利政策25(三)美国、欧盟国家自愿性/推荐性技术标准制订中专利政策关键点30三、美国欧盟强制性国家技术标准制订中专利政策32(一)自愿性标准向强制性标准转化模式32(二)在国家强制性技术标准中纳入专利权需要注意问题34四、对美国、欧盟国家技术标准中专利政策成因分析35(一)美国、欧盟标准体系特点及其成因分析35(二)美国、欧盟标准化组织专利政策成因分析39第三部分 中国国家技术标准体系及其专利政策研究41一、中国国家技术标准体系概况41(一) 国家标准制订和实施有浓厚行政色彩41(二) 强制性技术标准要求具体技术内容且包含范围较宽42(三) 认证机构不发达，合格评定体系尚不完善43二、中国国家标准中专利政策概况及分析43(一) 将专利技术排除在强制性国家标准之外不科学45(二) 国家标准化管理委员会在推荐性国家标准专利政策上态度应该更强硬47(三) 在反垄断法缺位情况下，国家标准化管理委员会和国家专利局应该负担更多责任，保障国家标准制订和实施47三、对中国国家标准体系及其专利政策总体构想48(一) 方案一：强制性国家标准推荐性国家标准49(二)方案二