强制性技术标准与专利权关系.docx

强制性国家技术标准与专利权关系
研究报告

课题组成员：

² 张平（北京大学）、赵启杉（上海大学）
² 何怀文、吴成剑 （北京大学）
² 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
² 美国国家标准制定中的专利政策
² IEEE标准组织及其专利政策的介绍和分析
² 欧洲电信标准协会与共同的欧洲标准化组织的专利政策
² 注定的软弱——评国际电信联盟的专利政策
² 英国标准化学会(BSI)的专利政策
² 美国食品与药品监督局（FDA）法规介绍
² US EPA与标准制度研究报告
² AVS专利政策研究
² 将必要专利纳入强制性国家标准行为的法律性质分析
² Rambus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、全球化方向的发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发展的必然结果。技术标准和专利权的结合可以提升二者的市场影响力，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、影响最广、最体现社会公共利益的一类标准，所以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影响。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。需要说明的一点是，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经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、地方标准和企业标准；按照标准强制效力的有无可以划分为强制性标准和推荐性标准。因此在我国，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”主要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原因分析入手，得出三点结论：（1）专利权与标准的结合是社会科学技术、经济活动发展的必然结果，特别在高科技领域几乎是无可避免的；（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都是不可取的；（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，但是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管理机关相互合作，避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妨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主要包括：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故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，主要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”主要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，经过研究我们发现，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用的体系有很大的差异，特别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。如果我们仅仅按照“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/推荐性国家标准”的范畴。在此基础上，我们分别收集整理了美国、欧盟自愿性/推荐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、科学技术发展水平和整体法律环境相适应的。如果完全无视我国标准化体系与美国、欧盟标准化体系的差异，无视我国社会经济、法律、技术发展状况的特点，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重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荐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，国家标准化管理委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。以此为出发点，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，分别阐述其要点和利弊，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，分别分析了这些专利纠纷的表现方式和产生原因，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、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影响标准制定实施问题；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、委托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影响国家技术标准制定实施的问题。
在总报告附件中，我们以表格的方式罗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 right
Abstract:
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, people’s 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 don’t 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 country’s standardization system and that of USA’s and EU’s, totally blink our country’s 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 country’s 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 People’s 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 People’s 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与专利权关系总报告目录
前言 1
第一部分 技术标准与专利权的结合 2
一、技术标准的概念和种类 2
二、技术标准与专利权结合的原因分析 3
(一)标准的科学性与“专利灌丛”现象 3
(二)标准的协商基础与专利权的专有性 4
(三)标准的本质与专利权权利的行使 6
三、技术标准与专利权结合的方式 7
四、技术标准与专利权结合后容易产生的问题 8
(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 8
(二)专利权人拒绝许可导致技术标准无法出台 10
(三)专利权人在标准制定过程中故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定进行联合抵制 12
(五)交叉许可和专利联营 13
五、从技术标准与专利权关系分析中得出的几点结论 14
第二部分 美国、欧盟国家技术标准中专利政策研究 15
一、国家技术标准的含义、分类和制定模式 15
二、美国、欧盟自愿性/推荐性国家技术标准制定中的专利政策 18
(一)美国自愿性/推荐性国家技术标准制定中的专利政策 18
(二)欧盟协调标准制定中的专利政策 25
(三)美国、欧盟国家自愿性/推荐性技术标准制定中专利政策的要点 30
三、美国欧盟强制性国家技术标准制定中的专利政策 32
(一)自愿性标准向强制性标准转化的模式 32
(二)在国家强制性技术标准中纳入专利权需要注意的问题 34
四、对美国、欧盟国家技术标准中专利政策的成因分析 35
(一)美国、欧盟标准体系的特点及其成因分析 35
(二)美国、欧盟标准化组织专利政策的成因分析 39
第三部分 我国国家技术标准体系及其专利政策研究 41
一、我国国家技术标准体系概况 41
(一) 国家标准的制定与实施有浓厚的行政色彩 41
(二) 强制性技术标准规定详细的技术内容且涉及的范围较宽 42
(三) 认证机构不发达，合格评定体系尚不完善 43
二、我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