強(qiáng)制性國家技術(shù)標(biāo)準(zhǔn)與專利權(quán)關(guān)系研究報(bào)告

1、 . . 86/102強(qiáng)制性國家技術(shù)標(biāo)準(zhǔn)與專利權(quán)關(guān)系研究報(bào)告課題組成員：平（大學(xué)）、啟杉（大學(xué)）何懷文、吳成劍 （大學(xué)）費(fèi)清清、佳晶、敏、周媛、翁儒復(fù) （大學(xué)）2006年1月強(qiáng)制性國家技術(shù)標(biāo)準(zhǔn)與專利權(quán)關(guān)系研究報(bào)告目錄中文摘要英文摘要總報(bào)告正文總報(bào)告附表分報(bào)告美國國家標(biāo)準(zhǔn)制定中的專利政策IEEE標(biāo)準(zhǔn)組織與其專利政策的介紹和分析歐洲電信標(biāo)準(zhǔn)協(xié)會(huì)與共同的歐洲標(biāo)準(zhǔn)化組織的專利政策注定的軟弱評(píng)國際電信聯(lián)盟的專利政策英國標(biāo)準(zhǔn)化學(xué)會(huì)(BSI)的專利政策美國食品與藥品監(jiān)督局（FDA）法規(guī)介紹US EPA與標(biāo)準(zhǔn)制度研究報(bào)告AVS專利政策研究將必要專利納入強(qiáng)制性國家標(biāo)準(zhǔn)行為的法律性質(zhì)分析Rambus案例情況介紹國

2、家強(qiáng)制性技術(shù)標(biāo)準(zhǔn)與專利權(quán)關(guān)系研究報(bào)告摘要：*857隨000著世界經(jīng)濟(jì)向區(qū)域化、全球化方向的發(fā)展以與現(xiàn)代科學(xué)技術(shù)在生產(chǎn)、貿(mào)易中作用的日益凸現(xiàn)，出現(xiàn)了技術(shù)標(biāo)準(zhǔn)與專利權(quán)相結(jié)合現(xiàn)象。事實(shí)證明技術(shù)標(biāo)準(zhǔn)和專利權(quán)的結(jié)合是科學(xué)技術(shù)和社會(huì)經(jīng)濟(jì)發(fā)展的必然結(jié)果。技術(shù)標(biāo)準(zhǔn)和專利權(quán)的結(jié)合可以提升二者的市場(chǎng)影響力，但同時(shí)也帶來了一系列專利糾紛。由于國家標(biāo)準(zhǔn)是我國的標(biāo)準(zhǔn)體系中效力層次最高、影響最廣、最體現(xiàn)社會(huì)公共利益的一類標(biāo)準(zhǔn)，所以一旦在國家技術(shù)標(biāo)準(zhǔn)的制定和實(shí)施中出現(xiàn)這些專利糾紛，就可能會(huì)給國家安全、人民生命健康以與社會(huì)公共利益帶來巨大的不利影響。要妥善地解決國家技術(shù)標(biāo)準(zhǔn)與專利權(quán)之間的沖突必須將我國標(biāo)準(zhǔn)體系的改進(jìn)與專利制度

3、的完善相結(jié)合，必須綜合運(yùn)用法律、行政法規(guī)、行政規(guī)章以與相關(guān)司法解釋等法律淵源進(jìn)行全面合理地規(guī)制。有鑒于此，本報(bào)告擬就國家技術(shù)標(biāo)準(zhǔn)與專利權(quán)的關(guān)系進(jìn)行研究，分析在國家技術(shù)標(biāo)準(zhǔn)的制定與執(zhí)行時(shí)可能出現(xiàn)的專利糾紛，將國外先進(jìn)經(jīng)驗(yàn)與我國實(shí)際國情相結(jié)合，研究解決這些專利糾紛的途徑，為我國相關(guān)立法提出合理的建議和意見。需要說明的一點(diǎn)是，本課題立項(xiàng)的時(shí)候擬定的題目為“國家強(qiáng)制性技術(shù)標(biāo)準(zhǔn)與專利權(quán)關(guān)系”，經(jīng)過征詢有關(guān)專家的意見，認(rèn)為該表述不夠準(zhǔn)確。在我國，標(biāo)準(zhǔn)按照標(biāo)準(zhǔn)效力等級(jí)可分為國家標(biāo)準(zhǔn)、行業(yè)標(biāo)準(zhǔn)、地方標(biāo)準(zhǔn)和企業(yè)標(biāo)準(zhǔn)；按照標(biāo)準(zhǔn)強(qiáng)制效力的有無可以劃分為強(qiáng)制性標(biāo)準(zhǔn)和推薦性標(biāo)準(zhǔn)。因此在我國，國家標(biāo)準(zhǔn)分為強(qiáng)制性國家標(biāo)準(zhǔn)和

4、推薦性國家標(biāo)準(zhǔn)，而強(qiáng)制性標(biāo)準(zhǔn)分為強(qiáng)制性國家標(biāo)準(zhǔn)和強(qiáng)制性行業(yè)標(biāo)準(zhǔn)。如上所述的標(biāo)準(zhǔn)體系與國外發(fā)達(dá)國家的標(biāo)準(zhǔn)體系具有較大的差異。考慮到本課題立項(xiàng)的初衷和適應(yīng)我國標(biāo)準(zhǔn)化體系改革的需要，本報(bào)告僅就國家標(biāo)準(zhǔn)進(jìn)行研究。本報(bào)告分由總報(bào)告與其附件以與十個(gè)分報(bào)告組成?？倛?bào)告分為以下四部分。第一部分“技術(shù)標(biāo)準(zhǔn)與專利權(quán)的結(jié)合”主要就國家技術(shù)標(biāo)準(zhǔn)與專利權(quán)的關(guān)系進(jìn)行深入研究分析?？倛?bào)告從技術(shù)標(biāo)準(zhǔn)與專利權(quán)結(jié)合的原因分析入手，得出三點(diǎn)結(jié)論：（1）專利權(quán)與標(biāo)準(zhǔn)的結(jié)合是社會(huì)科學(xué)技術(shù)、經(jīng)濟(jì)活動(dòng)發(fā)展的必然結(jié)果，特別在高科技領(lǐng)域幾乎是無可避免的；（2）在研究技術(shù)標(biāo)準(zhǔn)與專利權(quán)的關(guān)系時(shí)需要考慮到三方主體的利益，一是專利權(quán)人的合法權(quán)益，二是

5、標(biāo)準(zhǔn)化組織制定和推行標(biāo)準(zhǔn)的權(quán)利，三是作為標(biāo)準(zhǔn)使用者的社會(huì)公眾的權(quán)益。忽略任何一方的權(quán)益都是不可取的；（3）標(biāo)準(zhǔn)化組織需要制定相應(yīng)的專利權(quán)政策，以求對(duì)專利權(quán)人行使標(biāo)準(zhǔn)所涉與的專利權(quán)的行為進(jìn)行正確的規(guī)制和引導(dǎo)，但是基于標(biāo)準(zhǔn)化組織自身的性質(zhì)，標(biāo)準(zhǔn)化組織本身不能完全承擔(dān)有效約束和引導(dǎo)專利權(quán)人的職責(zé)，而是需要與專利的行政管理機(jī)關(guān)相互合作，避免出現(xiàn)全盤否定專利權(quán)人利益或者為維護(hù)專利權(quán)人的利益而妨礙技術(shù)標(biāo)準(zhǔn)正常制定與實(shí)施的情況。在此基礎(chǔ)上，報(bào)告分析了專利權(quán)與技術(shù)標(biāo)準(zhǔn)結(jié)合的方式，并總結(jié)了技術(shù)標(biāo)準(zhǔn)與專利權(quán)結(jié)合后容易產(chǎn)生的問題。報(bào)告認(rèn)為就目前而言，技術(shù)標(biāo)準(zhǔn)與專利權(quán)結(jié)合后容易產(chǎn)生的法律問題主要包括：1.出現(xiàn)在技術(shù)標(biāo)

6、準(zhǔn)中的專利技術(shù)是沒有獲得專利權(quán)人許可的，導(dǎo)致標(biāo)準(zhǔn)使用人無可適從；2.專利權(quán)人拒絕許可導(dǎo)致技術(shù)標(biāo)準(zhǔn)無法出臺(tái)；3.專利權(quán)人在標(biāo)準(zhǔn)制定過程中故意不披露相關(guān)專利權(quán)信息以獲取不正當(dāng)利益；4.專利權(quán)人利用標(biāo)準(zhǔn)制定進(jìn)行聯(lián)合抵制；5.交叉許可和專利聯(lián)營中的專利權(quán)濫用問題。就國家技術(shù)標(biāo)準(zhǔn)而言，主要容易出現(xiàn)前三種法律問題。第二部分“美國、歐盟國家技術(shù)標(biāo)準(zhǔn)中專利政策研究”主要著眼于對(duì)國外國家標(biāo)準(zhǔn)體系和相應(yīng)專利政策的梳理和分析。首先，經(jīng)過研究我們發(fā)現(xiàn)，我國的國家技術(shù)標(biāo)準(zhǔn)的含義、分類和制定模式與發(fā)達(dá)國家所普遍采用的體系有很大的差異，特別是在大多數(shù)發(fā)達(dá)國家并沒有與我國強(qiáng)制性國家標(biāo)準(zhǔn)涵完全一致的概念。如果我們僅僅按照“強(qiáng)制

7、性國家技術(shù)標(biāo)準(zhǔn)”進(jìn)行檢索則無法檢索到有價(jià)值的研究資料，因此本報(bào)告將研究圍擴(kuò)展到了“強(qiáng)制性/推薦性國家標(biāo)準(zhǔn)”的疇。在此基礎(chǔ)上，我們分別收集整理了美國、歐盟自愿性/推薦性國家技術(shù)標(biāo)準(zhǔn)制定中的專利政策，并對(duì)美國歐盟自愿性標(biāo)準(zhǔn)向強(qiáng)制性標(biāo)準(zhǔn)轉(zhuǎn)化的模式進(jìn)行了分析，較全面系統(tǒng)地展示了美國歐盟國家標(biāo)準(zhǔn)體系的構(gòu)成與其專利政策的要點(diǎn)。在第二部分的最后，我們對(duì)美國、歐盟國家技術(shù)標(biāo)準(zhǔn)中專利政策的成因進(jìn)行了分析，并得出結(jié)論：美國、歐盟標(biāo)準(zhǔn)化組織的專利政策是與其標(biāo)準(zhǔn)化體系相適應(yīng)的，而其標(biāo)準(zhǔn)化體系的建立又是以這些國家社會(huì)經(jīng)濟(jì)狀況、科學(xué)技術(shù)發(fā)展水平和整體法律環(huán)境相適應(yīng)的。如果完全無視我國標(biāo)準(zhǔn)化體系與美國、歐盟標(biāo)準(zhǔn)化體系的差異

8、，無視我國社會(huì)經(jīng)濟(jì)、法律、技術(shù)發(fā)展?fàn)顩r的特點(diǎn)，照搬發(fā)達(dá)國家的專利政策將導(dǎo)致因無法有效防止和妥善解決國家技術(shù)標(biāo)準(zhǔn)中的專利糾紛問題而嚴(yán)重阻礙我國國家技術(shù)標(biāo)準(zhǔn)制定實(shí)施的后果?？倛?bào)告第三部分“我國國家技術(shù)標(biāo)準(zhǔn)體系與其專利政策研究”從對(duì)我國國家技術(shù)標(biāo)準(zhǔn)體系概況的介紹分析入手，對(duì)目前我國國家標(biāo)準(zhǔn)中專利政策情況進(jìn)行了歸納總結(jié)與分析，就其中不合理之處進(jìn)行了詳細(xì)闡述。對(duì)我國目前正在制定的國家技術(shù)標(biāo)準(zhǔn)中的專利政策，我們總的看法是（1）將專利技術(shù)排除在強(qiáng)制性國家標(biāo)準(zhǔn)之外不科學(xué)；（2）國家標(biāo)準(zhǔn)化委員會(huì)在推薦性國家標(biāo)準(zhǔn)專利政策上的態(tài)度應(yīng)該更強(qiáng)硬；（3）在反壟斷法缺位的情況下，國家標(biāo)準(zhǔn)化管理委員會(huì)和國家專利局應(yīng)該承擔(dān)更多

9、的職責(zé)，保障國家標(biāo)準(zhǔn)的制定與實(shí)施。我們認(rèn)為國家標(biāo)準(zhǔn)中的專利政策必須與一國的標(biāo)準(zhǔn)體系相協(xié)調(diào)，而該標(biāo)準(zhǔn)體系又必須反映該國科學(xué)技術(shù)、社會(huì)經(jīng)濟(jì)和法律制度的特點(diǎn)。以此為出發(fā)點(diǎn)，我們就完善我國國家標(biāo)準(zhǔn)體系與其專利政策提出了三套建議方案，分別闡述其要點(diǎn)和利弊，供有關(guān)立法行政部門進(jìn)行參考。總報(bào)告第四部分就國家技術(shù)標(biāo)準(zhǔn)中納入專利后對(duì)專利法的沖擊和可能的專利法修改進(jìn)行了論述。本部分報(bào)告以國家技術(shù)標(biāo)準(zhǔn)中可能出現(xiàn)的專利糾紛為切入點(diǎn)，分別分析了這些專利糾紛的表現(xiàn)方式和產(chǎn)生原因，并詳細(xì)設(shè)計(jì)了解決這些糾紛的法律途徑。首先，報(bào)告建議通過完善對(duì)發(fā)明專利的審查制度和綜合運(yùn)用標(biāo)準(zhǔn)化領(lǐng)域的行政法規(guī)、規(guī)章、專利法中的無效審查制度等法律

10、途徑，解決由信息不對(duì)稱引發(fā)的專利權(quán)與國家技術(shù)標(biāo)準(zhǔn)相沖突問題。其次，報(bào)告建議，通過對(duì)發(fā)明專利實(shí)質(zhì)性審查制度的完善解決由于國家技術(shù)標(biāo)準(zhǔn)中專利技術(shù)狀況不明確而影響標(biāo)準(zhǔn)制定實(shí)施問題；最后報(bào)告以第三部分所設(shè)計(jì)的三套國家標(biāo)準(zhǔn)體系與其專利政策方案為基礎(chǔ)，提出綜合運(yùn)用專利強(qiáng)制許可制度、委托代理合同和居間合同以與對(duì)專利權(quán)濫用的反壟斷規(guī)制解決專利權(quán)人拒絕許可影響國家技術(shù)標(biāo)準(zhǔn)制定實(shí)施的問題。在總報(bào)告附件中，我們以表格的方式羅列了解決上述三方面問題所涉與的對(duì)法律法規(guī)司法解釋以與行政規(guī)章的修改容；并就為解決第三個(gè)問題所設(shè)計(jì)三種方案的要點(diǎn)進(jìn)行了歸納總結(jié)。最后，總報(bào)告中受篇幅所限無法展開的細(xì)節(jié)論述在本報(bào)告的若干分報(bào)告中得以

11、詳細(xì)闡釋。本報(bào)告的分報(bào)告包括： 美國國家標(biāo)準(zhǔn)制定中的專利政策、IEEE標(biāo)準(zhǔn)組織與其專利政策的介紹與分析、歐洲電信標(biāo)準(zhǔn)協(xié)會(huì)與公共的歐洲標(biāo)準(zhǔn)化組織的專利政策、注定的軟弱評(píng)國際電信聯(lián)盟的專利政策英國標(biāo)準(zhǔn)化學(xué)會(huì)（BSI）的專利政策、美國食品與藥品監(jiān)督局（FDA）法規(guī)介紹、US EPA與標(biāo)準(zhǔn)制度研究報(bào)告、AVS專利政策研究、將必要專利納入強(qiáng)制性國家標(biāo)準(zhǔn)行為的法律性質(zhì)分析Rambus案例情況介紹。關(guān)鍵詞：強(qiáng)制性/推薦性國家技術(shù)標(biāo)準(zhǔn)；專利權(quán)；披露義務(wù)；合理非歧視許可；強(qiáng)制許可Research report on the relationship between national compulsory tec

12、hnical 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 right

13、s. 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 effe

14、ctiveness 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

15、 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 explanati

16、on 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 standar

17、ds. 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

18、 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 sever

19、al 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,

20、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

21、 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 “Combinati

22、on 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

23、 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

24、 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 for

25、mulate 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 g

26、uiding 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 paten

27、t 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

28、 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 th

29、e 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

30、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 ge

31、nerally 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 a

32、rea 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 poi

33、nts 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

34、 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 tec

35、hnology 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

36、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 unreas

37、onable 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 polic

38、y 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 poli

39、cy of the national standards should coordinate the standardizationsystem 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 threescheme,analyzing the points, advantages and disadvantages respectively

40、,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 t

41、he 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 us

42、ing 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 examinationthat the formulation and enforcement of the standards are influenced as

43、the patent technologies in the national technical standard are not definite. At last, on the basis of thethree 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

44、and enforcement of national technical standards are influenced because of patent holdersrefusal 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

45、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

46、 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 sta

47、ndard; patent right; disclosure duty; RANDlicence; obligatory licence國家強(qiáng)制性技術(shù)標(biāo)準(zhǔn)與專利權(quán)關(guān)系總報(bào)告目錄 TOC o 1-2 h z u HYPERLINK l _Toc125807338前言 PAGEREF _Toc125807338 h 1HYPERLINK l _Toc125807339第一部分技術(shù)標(biāo)準(zhǔn)與專利權(quán)的結(jié)合 PAGEREF _Toc125807339 h 2HYPERLINK l _Toc125807340一、技術(shù)標(biāo)準(zhǔn)的概念和種類 PAGEREF _Toc125807340 h 2HYPERLINK l

48、_Toc125807341二、技術(shù)標(biāo)準(zhǔn)與專利權(quán)結(jié)合的原因分析 PAGEREF _Toc125807341 h 3HYPERLINK l _Toc125807342(一)標(biāo)準(zhǔn)的科學(xué)性與“專利灌叢”現(xiàn)象 PAGEREF _Toc125807342 h 3HYPERLINK l _Toc125807343(二)標(biāo)準(zhǔn)的協(xié)商基礎(chǔ)與專利權(quán)的專有性 PAGEREF _Toc125807343 h 4HYPERLINK l _Toc125807344(三)標(biāo)準(zhǔn)的本質(zhì)與專利權(quán)權(quán)利的行使 PAGEREF _Toc125807344 h 6HYPERLINK l _Toc125807345三、技術(shù)標(biāo)準(zhǔn)與專利權(quán)結(jié)合的

49、方式 PAGEREF _Toc125807345 h 7HYPERLINK l _Toc125807346四、技術(shù)標(biāo)準(zhǔn)與專利權(quán)結(jié)合后容易產(chǎn)生的問題 PAGEREF _Toc125807346 h 8HYPERLINK l _Toc125807347(一)出現(xiàn)在技術(shù)標(biāo)準(zhǔn)中的專利技術(shù)是沒有獲得專利權(quán)人許可的，導(dǎo)致標(biāo)準(zhǔn)使用人無可適從 PAGEREF _Toc125807347 h 8HYPERLINK l _Toc125807348(二)專利權(quán)人拒絕許可導(dǎo)致技術(shù)標(biāo)準(zhǔn)無法出臺(tái) PAGEREF _Toc125807348 h 10HYPERLINK l _Toc125807349(三)專利權(quán)人在標(biāo)準(zhǔn)制定

50、過程中故意不披露相關(guān)知識(shí)產(chǎn)權(quán)信息以獲取不正當(dāng)利益 PAGEREF _Toc125807349 h 11HYPERLINK l _Toc125807350(四)專利權(quán)人利用標(biāo)準(zhǔn)制定進(jìn)行聯(lián)合抵制 PAGEREF _Toc125807350 h 12HYPERLINK l _Toc125807351(五)交叉許可和專利聯(lián)營 PAGEREF _Toc125807351 h 13HYPERLINK l _Toc125807352五、從技術(shù)標(biāo)準(zhǔn)與專利權(quán)關(guān)系分析中得出的幾點(diǎn)結(jié)論 PAGEREF _Toc125807352 h 14HYPERLINK l _Toc125807353第二部分美國、歐盟國家技術(shù)標(biāo)

51、準(zhǔn)中專利政策研究 PAGEREF _Toc125807353 h 15HYPERLINK l _Toc125807354一、國家技術(shù)標(biāo)準(zhǔn)的含義、分類和制定模式 PAGEREF _Toc125807354 h 15HYPERLINK l _Toc125807355二、美國、歐盟自愿性/推薦性國家技術(shù)標(biāo)準(zhǔn)制定中的專利政策 PAGEREF _Toc125807355 h 18HYPERLINK l _Toc125807356(一)美國自愿性/推薦性國家技術(shù)標(biāo)準(zhǔn)制定中的專利政策 PAGEREF _Toc125807356 h 18HYPERLINK l _Toc125807357(二)歐盟協(xié)調(diào)標(biāo)準(zhǔn)制定

52、中的專利政策 PAGEREF _Toc125807357 h 25HYPERLINK l _Toc125807358(三)美國、歐盟國家自愿性/推薦性技術(shù)標(biāo)準(zhǔn)制定中專利政策的要點(diǎn) PAGEREF _Toc125807358 h 30HYPERLINK l _Toc125807359三、美國歐盟強(qiáng)制性國家技術(shù)標(biāo)準(zhǔn)制定中的專利政策 PAGEREF _Toc125807359 h 32HYPERLINK l _Toc125807360(一)自愿性標(biāo)準(zhǔn)向強(qiáng)制性標(biāo)準(zhǔn)轉(zhuǎn)化的模式 PAGEREF _Toc125807360 h 32HYPERLINK l _Toc125807361(二)在國家強(qiáng)制性技術(shù)標(biāo)準(zhǔn)

53、中納入專利權(quán)需要注意的問題 PAGEREF _Toc125807361 h 34HYPERLINK l _Toc125807362四、對(duì)美國、歐盟國家技術(shù)標(biāo)準(zhǔn)中專利政策的成因分析 PAGEREF _Toc125807362 h 35HYPERLINK l _Toc125807363(一)美國、歐盟標(biāo)準(zhǔn)體系的特點(diǎn)與其成因分析 PAGEREF _Toc125807363 h 35HYPERLINK l _Toc125807364(二)美國、歐盟標(biāo)準(zhǔn)化組織專利政策的成因分析 PAGEREF _Toc125807364 h 39HYPERLINK l _Toc125807365第三部分我國國家技術(shù)標(biāo)準(zhǔn)

54、體系與其專利政策研究 PAGEREF _Toc125807365 h 41HYPERLINK l _Toc125807366一、我國國家技術(shù)標(biāo)準(zhǔn)體系概況 PAGEREF _Toc125807366 h 41HYPERLINK l _Toc125807367(一) 國家標(biāo)準(zhǔn)的制定與實(shí)施有濃厚的行政色彩 PAGEREF _Toc125807367 h 41HYPERLINK l _Toc125807368(二) 強(qiáng)制性技術(shù)標(biāo)準(zhǔn)規(guī)定詳細(xì)的技術(shù)容且涉與的圍較寬 PAGEREF _Toc125807368 h 42HYPERLINK l _Toc125807369(三) 認(rèn)證機(jī)構(gòu)不發(fā)達(dá)，合格評(píng)定體系尚不

55、完善 PAGEREF _Toc125807369 h 43HYPERLINK l _Toc125807370二、我國國家標(biāo)準(zhǔn)中專利政策概況與分析 PAGEREF _Toc125807370 h 43HYPERLINK l _Toc125807371(一) 將專利技術(shù)排除在強(qiáng)制性國家標(biāo)準(zhǔn)之外不科學(xué) PAGEREF _Toc125807371 h 45HYPERLINK l _Toc125807372(二) 國家標(biāo)準(zhǔn)化管理委員會(huì)在推薦性國家標(biāo)準(zhǔn)專利政策上的態(tài)度應(yīng)該更強(qiáng)硬 PAGEREF _Toc125807372 h 47HYPERLINK l _Toc125807373(三) 在反壟斷法缺位的情

56、況下，國家標(biāo)準(zhǔn)化管理委員會(huì)和國家專利局應(yīng)該承擔(dān)更多的責(zé)任，保障國家標(biāo)準(zhǔn)的制定與實(shí)施 PAGEREF _Toc125807373 h 47HYPERLINK l _Toc125807374三、對(duì)我國國家標(biāo)準(zhǔn)體系與其專利政策的總體構(gòu)想 PAGEREF _Toc125807374 h 48HYPERLINK l _Toc125807375(一) 方案一：強(qiáng)制性國家標(biāo)準(zhǔn)推薦性國家標(biāo)準(zhǔn) PAGEREF _Toc125807375 h 49HYPERLINK l _Toc125807376(二)方案二：技術(shù)標(biāo)準(zhǔn)技術(shù)法規(guī) PAGEREF _Toc125807376 h 56HYPERLINK l _Toc1

57、25807377(三)方案三：國家標(biāo)準(zhǔn)統(tǒng)一體系 PAGEREF _Toc125807377 h 59HYPERLINK l _Toc125807378第四部分國家技術(shù)標(biāo)準(zhǔn)中納入專利后對(duì)專利法的沖擊和可能的專利法修改 PAGEREF _Toc125807378 h 62HYPERLINK l _Toc125807379一、解決由信息不對(duì)稱引發(fā)的專利權(quán)與國家技術(shù)標(biāo)準(zhǔn)相沖突問題的辦法 PAGEREF _Toc125807379 h 62HYPERLINK l _Toc125807380(一)標(biāo)準(zhǔn)在前，申請(qǐng)的專利與之沖突 PAGEREF _Toc125807380 h 62HYPERLINK l _T

58、oc125807381(二)專利在前，制定標(biāo)準(zhǔn)與之沖突 PAGEREF _Toc125807381 h 65HYPERLINK l _Toc125807382二、解決由于國家技術(shù)標(biāo)準(zhǔn)中專利技術(shù)狀況不明確而影響標(biāo)準(zhǔn)制定實(shí)施問題的辦法 PAGEREF _Toc125807382 h 69HYPERLINK l _Toc125807383三、解決專利權(quán)人拒絕許可影響國家技術(shù)標(biāo)準(zhǔn)制定實(shí)施問題的辦法 PAGEREF _Toc125807383 h 72HYPERLINK l _Toc125807384(一) 方案一：“強(qiáng)制性國家標(biāo)準(zhǔn)推薦性國家標(biāo)準(zhǔn)”方案所涉與的制度增補(bǔ)與修改 PAGEREF _Toc12

59、5807384 h 72HYPERLINK l _Toc125807385(二) 方案二：“技術(shù)標(biāo)準(zhǔn)技術(shù)法規(guī)”方案所涉與的制度增補(bǔ)與修改 PAGEREF _Toc125807385 h 81HYPERLINK l _Toc125807386(三) 方案三：“國家標(biāo)準(zhǔn)統(tǒng)一體系”方案所涉與的制度增補(bǔ)與修改 PAGEREF _Toc125807386 h 82HYPERLINK l _Toc125807387結(jié)語 PAGEREF _Toc125807387 h 82國家強(qiáng)制性技術(shù)標(biāo)準(zhǔn)與專利權(quán)關(guān)系研究報(bào)告前言隨著世界經(jīng)濟(jì)向區(qū)域化、全球化方向的發(fā)展以與現(xiàn)代科學(xué)技術(shù)在生產(chǎn)、貿(mào)易中作用的日益凸現(xiàn)，出現(xiàn)了技術(shù)

60、標(biāo)準(zhǔn)與專利權(quán)相結(jié)合現(xiàn)象。事實(shí)證明技術(shù)標(biāo)準(zhǔn)和專利權(quán)的結(jié)合是科學(xué)技術(shù)和社會(huì)經(jīng)濟(jì)發(fā)展的必然結(jié)果。技術(shù)標(biāo)準(zhǔn)和專利權(quán)的結(jié)合可以提升二者的市場(chǎng)影響力，但同時(shí)也帶來了一系列法律糾紛。就目前而言，技術(shù)標(biāo)準(zhǔn)與專利權(quán)結(jié)合后容易產(chǎn)生的法律問題主要包括：1.出現(xiàn)在技術(shù)標(biāo)準(zhǔn)中的專利技術(shù)是沒有獲得專利權(quán)人許可的，導(dǎo)致標(biāo)準(zhǔn)使用人無可適從；2.專利權(quán)人拒絕許可導(dǎo)致技術(shù)標(biāo)準(zhǔn)無法出臺(tái)；3.專利權(quán)人在標(biāo)準(zhǔn)制定過程中故意不披露相關(guān)專利權(quán)信息以獲取不正當(dāng)利益；4.專利權(quán)人利用標(biāo)準(zhǔn)制定進(jìn)行聯(lián)合抵制；5.交叉許可和專利聯(lián)營中的專利權(quán)濫用問題。就國家技術(shù)標(biāo)準(zhǔn)而言，主要容易出現(xiàn)前三種法律問題。國家標(biāo)準(zhǔn)是我國的標(biāo)準(zhǔn)體系中效力層次最高、影響最廣、