國際貿(mào)易中知識產(chǎn)權(quán)的權(quán)利窮竭問題研究
發(fā)布時間：2018-07-26 13:02
【摘要】：知識產(chǎn)權(quán)的權(quán)利窮竭問題是國際貿(mào)易的知識產(chǎn)權(quán)法領(lǐng)域中一個充滿爭議的熱點問題。本文從知識產(chǎn)權(quán)法的基本理論、國際貿(mào)易政策與競爭政策、國際協(xié)定和各國國內(nèi)法對權(quán)利窮竭的規(guī)定,以及我國與權(quán)利窮竭相關(guān)的法律、政策問題等角度出發(fā),比較全面地分析了國際貿(mào)易中知識產(chǎn)權(quán)的權(quán)利窮竭問題。本文正文共分四章。 第一章分析了知識產(chǎn)權(quán)權(quán)利窮竭的基本理論。本章結(jié)合知識產(chǎn)品的稀缺性以及利益平衡等知識產(chǎn)權(quán)法的基本理論,對權(quán)利窮竭原則的淵源、目的,權(quán)利窮竭原則中知識產(chǎn)權(quán)與物權(quán)和債權(quán)的關(guān)系,以及知識產(chǎn)權(quán)的國內(nèi)窮竭原則與國際窮竭原則及其理論依據(jù)進(jìn)行了梳理和分析。本章揭示出知識產(chǎn)權(quán)權(quán)利窮竭原則的目的在于平衡知識產(chǎn)品的稀缺性與商品市場上的產(chǎn)品流通秩序,并協(xié)調(diào)知識產(chǎn)權(quán)的排他性與物權(quán)排他性的關(guān)系,從而平衡知識產(chǎn)權(quán)人與社會公眾的利益。知識產(chǎn)權(quán)的國內(nèi)窮竭與國際窮竭問題是國際貿(mào)易中知識產(chǎn)品跨國流通所導(dǎo)致的必然后果,并反映出知識產(chǎn)權(quán)的地域性與國際貿(mào)易自由化之間的沖突關(guān)系,本章結(jié)合這一問題分析了TRIPS協(xié)定第六條的制定過程及基本內(nèi)涵。 第二章從國際貿(mào)易的角度出發(fā),分析了國際貿(mào)易政策、競爭政策、海關(guān)政策以及區(qū)域貿(mào)易安排視角下的知識產(chǎn)權(quán)權(quán)利窮竭問題。本章從國際貿(mào)易政策的性質(zhì)出發(fā),分析了影響各國制定權(quán)利窮竭及平行進(jìn)口相關(guān)貿(mào)易政策的利益主體,以及經(jīng)濟(jì)學(xué)對這些利益主體在不同權(quán)利窮竭原則之下福利變化的分析。本章的研究表明,權(quán)利窮竭和平行進(jìn)口問題涉及到的利益主體及其福利變化趨勢非常復(fù)雜,決定了各國在相關(guān)領(lǐng)域的利益權(quán)衡必然導(dǎo)致不同的貿(mào)易政策立場,也決定了各國難以在權(quán)利窮竭問題上達(dá)成貿(mào)易政策的協(xié)調(diào)。但由此導(dǎo)致的各國相關(guān)法律規(guī)則不一的局面必將對國際貿(mào)易自由化產(chǎn)生不利影響,因為這增加了知識產(chǎn)品在國際市場流通時面臨的規(guī)則不確定性。本章也指出,權(quán)利窮竭相關(guān)規(guī)則的不確定性對國際貿(mào)易的負(fù)面作用如果積累到一定程度,本身將成為推動各國下決心就權(quán)利窮竭問題進(jìn)行政策協(xié)調(diào),從而推動TRIPS協(xié)定中相關(guān)規(guī)則向前發(fā)展的政策動因。本章還分析了國際貿(mào)易中平行進(jìn)口問題對各國競爭政策產(chǎn)生的影響。由于知識產(chǎn)權(quán)人為限制平行進(jìn)口而采取的垂直限制會產(chǎn)生具有跨國性的影響,導(dǎo)致奉行“效果原則”的競爭政策無法充分發(fā)揮調(diào)整作用。這使得競爭政策的國際協(xié)調(diào)成為必需考慮的問題。本章也考察了與權(quán)利窮竭相關(guān)的海關(guān)政策和區(qū)域貿(mào)易安排。平行進(jìn)口對于海關(guān)而言構(gòu)成了管理中的一個難題,各國海關(guān)必須在貿(mào)易便利化與知識產(chǎn)權(quán)保護(hù)之間取得平衡,在此基礎(chǔ)上執(zhí)行本國知識產(chǎn)權(quán)法對平行進(jìn)口的具體規(guī)定。而權(quán)利窮竭與平行進(jìn)口也已成為美國、歐盟與發(fā)展中國家簽署的自由貿(mào)易協(xié)定的調(diào)整對象,美、歐都傾向于利用自由貿(mào)易協(xié)定要求締約方采取國內(nèi)窮竭原則。 第三章考察了各國國內(nèi)法對國際貿(mào)易中知識產(chǎn)權(quán)權(quán)利窮竭問題的規(guī)定。本章有側(cè)重地分析了不同國家在專利、商標(biāo)和版權(quán)領(lǐng)域的相關(guān)規(guī)定。本章的研究表明,目前世界各國對權(quán)利窮竭的規(guī)定非常復(fù)雜,不僅各國之間立場不一致,而且同一個國家對不同知識產(chǎn)權(quán)主題的規(guī)定也不一致。這無疑增加了未來在多邊體制下對權(quán)利窮竭問題進(jìn)行國際協(xié)調(diào)的難度。 第四章考察了我國在國際貿(mào)易中面臨的權(quán)利窮竭問題。本章結(jié)合我國專利法第三次修改中采取專利權(quán)國際窮竭原則的最新發(fā)展,梳理了專利法、商標(biāo)法、著作權(quán)法以及行政規(guī)范性文件對權(quán)利窮竭相關(guān)規(guī)定的演變歷程,考察了我國法院關(guān)于知識產(chǎn)權(quán)權(quán)利窮竭的已有實踐。本章結(jié)合我國在國際貿(mào)易中的現(xiàn)實處境,認(rèn)為知識產(chǎn)權(quán)的國際窮竭原則更符合我國在未來一段時期內(nèi)的貿(mào)易利益�；谶@一結(jié)論,本章對我國專利法、商標(biāo)法和著作權(quán)法如何分別完善關(guān)于權(quán)利窮竭和平行進(jìn)口的相關(guān)規(guī)則提出了建議,并對反壟斷法、海關(guān)規(guī)定以及我國的自由貿(mào)易協(xié)定如何幫助實現(xiàn)我國在權(quán)利窮竭方面的政策目標(biāo)進(jìn)行了探討。 作為結(jié)論,本文認(rèn)為國際貿(mào)易中的知識產(chǎn)權(quán)權(quán)利窮竭問題集中體現(xiàn)了物權(quán)與知識產(chǎn)權(quán)、知識產(chǎn)權(quán)人與社會公眾、知識產(chǎn)權(quán)地域性與國際貿(mào)易自由化等多重矛盾,具有高度的復(fù)雜性。對權(quán)利窮竭和平行進(jìn)口的法律規(guī)范必須建立在對貿(mào)易政策、競爭政策和知識產(chǎn)權(quán)政策的綜合分析基礎(chǔ)上,并符合特定國家的利益需求。這導(dǎo)致在多邊體制下對權(quán)利窮竭的協(xié)調(diào)難以實現(xiàn),對這個問題的爭論也將長期持續(xù)。我國已認(rèn)識到知識產(chǎn)權(quán)的國際窮竭原則目前更符合我國利益,應(yīng)通過完善相關(guān)立法將這一原則予以貫徹實施,并與貿(mào)易伙伴國就權(quán)利窮竭開展雙邊協(xié)調(diào),以確保未來多邊體制下權(quán)利窮竭的規(guī)則發(fā)展符合我國的利益需要。
[Abstract]:The exhaustion of intellectual property rights is a hot and controversial issue in the field of intellectual property law in international trade. This article is based on the basic theory of intellectual property law, international trade policy and competition policy, international agreements and the provisions of domestic law on the exhaustion of rights, as well as the law and policy issues related to the exhaustion of rights in China. The paper starts with a comprehensive analysis of the exhaustion of intellectual property rights in international trade. The text is divided into four chapters.
The first chapter analyzes the basic theory of the exhaustion of intellectual property rights. This chapter combines the basic theory of intellectual property law, such as the scarcity of knowledge products and the balance of interests, and the origin and purpose of the principle of exhaustion of rights, the relationship between intellectual property rights and property rights and claims in the principle of exhaustion of rights, the domestic exhaustion principle of intellectual property and the international exhaustion. This chapter reveals that the purpose of the exhaustion principle of intellectual property rights is to balance the scarcity of knowledge products and the order of product circulation in the commodity market, and to coordinate the relationship between the exclusiveness of intellectual property and the exclusiveness of property rights, so as to balance the interests of the intellectual property holders and the public. The domestic exhaustion and the international exhaustion of property rights are the inevitable consequences of the transnational circulation of knowledge products in international trade, and reflect the conflict relationship between the territoriality of intellectual property and the liberalization of international trade. This chapter analyzes the process and basic connotations of the sixth articles of the TRIPS agreement in combination with this question.
The second chapter, from the perspective of international trade, analyzes the problem of the exhaustion of intellectual property rights under the perspective of international trade policy, competition policy, customs policy and regional trade arrangement. This chapter, starting with the nature of the international trade policy, analyzes the stakeholders that affect the policy of exhaustion of rights and parallel import related trade policies in various countries. Economic analysis of the welfare changes under the principle of different rights exhaustion. The study in this chapter shows that the subject and the trend of welfare change involved in the problem of rights exhaustion and parallel import are very complex, and it is determined that the balance of interests in the related fields will inevitably lead to different trade policy positions, and it is also determined. It is difficult for countries to achieve the coordination of trade policies on the issue of exhaustion of rights. However, the resulting situation of different countries' relevant laws and regulations will have an adverse effect on the liberalization of international trade, as this increases the uncertainty of rules faced by the circulation of knowledge products in the international market. If the negative effect of certainty on international trade is accumulated to a certain extent, it will itself be the policy driver to promote the policy of the determination of the exhaustion of rights and promote the development of the relevant rules in the TRIPS agreement. Since the vertical restrictions imposed by intellectual property holders to restrict parallel imports will have a transnational effect, the competition policy which pursues the "effect principle" cannot fully play the role of adjustment. This makes the international coordination of the competition policy a necessary consideration. This chapter also examines the customs policies related to the exhaustion of rights and of the exhaustion of rights. Regional trade arrangements. Parallel imports constitute a difficult problem in the management of customs. Customs must balance trade facilitation and intellectual property protection, on the basis of which the specific provisions of national intellectual property law on parallel imports are implemented. The target countries of the free trade agreement signed by the United States and the US are inclined to use the free trade agreement to require the parties to adopt the principle of exhaustion.
The third chapter examines the provisions of the domestic law on the exhaustion of intellectual property rights in international trade. This chapter focuses on the analysis of the relevant provisions in the fields of patent, trademark and copyright in different countries. The regulations of a country on different intellectual property rights are also inconsistent. This undoubtedly adds to the difficulty of international coordination of the problem of exhaustion in the multilateral system in the future.
The fourth chapter examines the problem of the exhaustion of rights in China's international trade. This chapter combs the evolution of patent law, trademark law, copyright law and administrative normative documents on the exhaustion of rights in the third revision of China's patent law, and examines the development of the relevant provisions of the exhaustion of rights in the patent law, the copyright law and the administrative normative documents. This chapter, based on the practical situation of the exhaustion of intellectual property rights, considers that the international exhaustion principle of intellectual property is more in line with our country's trade interests in the coming period. Based on this conclusion, how to improve the exhaustion of rights in the patent law, the trademark law and the copyright law in our country The relevant rules for importing are proposed, and the anti trust law, customs regulations and how our free trade agreements help to achieve our policy goals in the exhaustion of rights are discussed.
As a conclusion, this paper holds that the exhaustion of intellectual property rights in international trade embodies the multiple contradictions between property rights and intellectual property rights, intellectual property and the public, the territoriality of intellectual property and the liberalization of international trade. The legal norms for the exhaustion of rights and parallel imports must be established in the trade administration. The policy, the comprehensive analysis of the competition policy and the intellectual property policy, is in line with the interests of the specific countries. This leads to the difficult coordination of the exhaustion of rights under the multilateral system, and the debate on this issue will continue for a long time. China has realized that the international principle of exhaustion of intellectual property right now is more in line with our interests and should be passed through the end. This principle is implemented by good related legislation and bilateral coordination with trade partner countries on the exhaustion of rights to ensure that the development of the rules for the exhaustion of rights in the future multilateral system is in line with the interests of our country.
【學(xué)位授予單位】：復(fù)旦大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2011
【分類號】：D997.1
本文編號：2146095
[Abstract]:The exhaustion of intellectual property rights is a hot and controversial issue in the field of intellectual property law in international trade. This article is based on the basic theory of intellectual property law, international trade policy and competition policy, international agreements and the provisions of domestic law on the exhaustion of rights, as well as the law and policy issues related to the exhaustion of rights in China. The paper starts with a comprehensive analysis of the exhaustion of intellectual property rights in international trade. The text is divided into four chapters.
The first chapter analyzes the basic theory of the exhaustion of intellectual property rights. This chapter combines the basic theory of intellectual property law, such as the scarcity of knowledge products and the balance of interests, and the origin and purpose of the principle of exhaustion of rights, the relationship between intellectual property rights and property rights and claims in the principle of exhaustion of rights, the domestic exhaustion principle of intellectual property and the international exhaustion. This chapter reveals that the purpose of the exhaustion principle of intellectual property rights is to balance the scarcity of knowledge products and the order of product circulation in the commodity market, and to coordinate the relationship between the exclusiveness of intellectual property and the exclusiveness of property rights, so as to balance the interests of the intellectual property holders and the public. The domestic exhaustion and the international exhaustion of property rights are the inevitable consequences of the transnational circulation of knowledge products in international trade, and reflect the conflict relationship between the territoriality of intellectual property and the liberalization of international trade. This chapter analyzes the process and basic connotations of the sixth articles of the TRIPS agreement in combination with this question.
The second chapter, from the perspective of international trade, analyzes the problem of the exhaustion of intellectual property rights under the perspective of international trade policy, competition policy, customs policy and regional trade arrangement. This chapter, starting with the nature of the international trade policy, analyzes the stakeholders that affect the policy of exhaustion of rights and parallel import related trade policies in various countries. Economic analysis of the welfare changes under the principle of different rights exhaustion. The study in this chapter shows that the subject and the trend of welfare change involved in the problem of rights exhaustion and parallel import are very complex, and it is determined that the balance of interests in the related fields will inevitably lead to different trade policy positions, and it is also determined. It is difficult for countries to achieve the coordination of trade policies on the issue of exhaustion of rights. However, the resulting situation of different countries' relevant laws and regulations will have an adverse effect on the liberalization of international trade, as this increases the uncertainty of rules faced by the circulation of knowledge products in the international market. If the negative effect of certainty on international trade is accumulated to a certain extent, it will itself be the policy driver to promote the policy of the determination of the exhaustion of rights and promote the development of the relevant rules in the TRIPS agreement. Since the vertical restrictions imposed by intellectual property holders to restrict parallel imports will have a transnational effect, the competition policy which pursues the "effect principle" cannot fully play the role of adjustment. This makes the international coordination of the competition policy a necessary consideration. This chapter also examines the customs policies related to the exhaustion of rights and of the exhaustion of rights. Regional trade arrangements. Parallel imports constitute a difficult problem in the management of customs. Customs must balance trade facilitation and intellectual property protection, on the basis of which the specific provisions of national intellectual property law on parallel imports are implemented. The target countries of the free trade agreement signed by the United States and the US are inclined to use the free trade agreement to require the parties to adopt the principle of exhaustion.
The third chapter examines the provisions of the domestic law on the exhaustion of intellectual property rights in international trade. This chapter focuses on the analysis of the relevant provisions in the fields of patent, trademark and copyright in different countries. The regulations of a country on different intellectual property rights are also inconsistent. This undoubtedly adds to the difficulty of international coordination of the problem of exhaustion in the multilateral system in the future.
The fourth chapter examines the problem of the exhaustion of rights in China's international trade. This chapter combs the evolution of patent law, trademark law, copyright law and administrative normative documents on the exhaustion of rights in the third revision of China's patent law, and examines the development of the relevant provisions of the exhaustion of rights in the patent law, the copyright law and the administrative normative documents. This chapter, based on the practical situation of the exhaustion of intellectual property rights, considers that the international exhaustion principle of intellectual property is more in line with our country's trade interests in the coming period. Based on this conclusion, how to improve the exhaustion of rights in the patent law, the trademark law and the copyright law in our country The relevant rules for importing are proposed, and the anti trust law, customs regulations and how our free trade agreements help to achieve our policy goals in the exhaustion of rights are discussed.
As a conclusion, this paper holds that the exhaustion of intellectual property rights in international trade embodies the multiple contradictions between property rights and intellectual property rights, intellectual property and the public, the territoriality of intellectual property and the liberalization of international trade. The legal norms for the exhaustion of rights and parallel imports must be established in the trade administration. The policy, the comprehensive analysis of the competition policy and the intellectual property policy, is in line with the interests of the specific countries. This leads to the difficult coordination of the exhaustion of rights under the multilateral system, and the debate on this issue will continue for a long time. China has realized that the international principle of exhaustion of intellectual property right now is more in line with our interests and should be passed through the end. This principle is implemented by good related legislation and bilateral coordination with trade partner countries on the exhaustion of rights to ensure that the development of the rules for the exhaustion of rights in the future multilateral system is in line with the interests of our country.
【學(xué)位授予單位】：復(fù)旦大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2011
【分類號】：D997.1
【引證文獻(xiàn)】
相關(guān)碩士學(xué)位論文 前1條
1 廖川;信息資源版權(quán)的博弈均衡研究[D];北京郵電大學(xué);2012年
，本文編號：2146095
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