专利贸易壁垒及其应对研究
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摘要
在知识经济和全球化时代,知识产权对经济与贸易的影响日益增大。作为知识产权重要组成部分的专利在产生之初并没有限制国际贸易和投资的考虑,但在传统关税和一般非关税壁垒不断被限制和规范的情况下,拥有技术优势的发达国家及相关企业为了维护其在全球的利益,保持技术领先的优势并获取利润,开始利用专利构筑合乎国际规则的贸易壁垒,并通过专利制度与贸易规则将这一手段不断地向更高级的形式发展。中国作为发展中大国,受到的这种与专利有关的贸易和投资壁垒的影响越来越大并且难以应对。同时,中国自身也需要适合中国国情的专利保护制度以促进国内的自主创新。因此,对中国所面临的与专利有关的贸易和投资壁垒进行深入研究并探讨如何通过中国的专利制度建设来对其进行有效应对就成为本文写作的初衷及希望解决的问题。
本文总结和梳理了当前中国面临的与专利有关的贸易与投资壁垒,将政府层面的专利贸易壁垒与企业层面与专利有关的做法结合起来,以Nordhaus模型作为数理分析的起点,利用博弈理论作为分析工具研究了在开放经济条件下专利贸易壁垒的相关影响因素,并利用计量经济学方法实证分析了各类技术产品的出口与专利贸易壁垒之间的关系,将专利制度视为专利贸易壁垒的核心,分析当前中国专利制度存在的问题,从加强专利制度建设以应对国外专利贸易壁垒的角度提出对策建议。本文首先从对基础专利贸易壁垒的分析出发,按照专利贸易壁垒发展的内在逻辑顺序对专利制度的国际演化进行了分析,从专利贸易壁垒的视角解释了保护工业产权巴黎公约、与贸易有关的知识产权协议(TRIPs协议)、专利合作条约(PCT)、专利法条约(PLT)和实体专利法条约草案(SPLT)等条约、协议产生和缔结的原因,进而对不同种类的专利贸易壁垒的作用机理和影响模式进行了重点说明,特别是各类专利贸易壁垒如何通过专利制度来发挥作用方面,并结合具体案例重点分析国外专利保护,包括专利诉讼和专利许可、337调查,以及专利积聚与专利投机对中国的影响及原因。本文认为,随着中国对外贸易竞争力的不断提升,技术密集型产品出口不断扩大,对发达国家的竞争对手带来挑战和威胁；同时,中国在知识产权保护方面虽然已经取得很大进步,但在知识产权理念意识、制度建设、以及人才储备等方面还存在不足,技术创新能力和知识产权成果转化能力有待提高。在这种情况下,发达国家就利用其在技术和专利制度上的优势地位,设置各种贸易壁垒,限制中国,谋求保持甚至扩大其优势地位。面对这种情况,中国可行的做法是加强自身专利制度建设,修炼内功,提高应对专利贸易壁垒的能力。为此,本文在对专利贸易壁垒进行上述分析的基础上,对中国专利制度中的与专利贸易壁垒密切相关的专利纠纷解决机制和专利代理市场问题等进行了较为深入、详尽的讨论,进而有针对性的提出了中国在目前条件下可行的对策建议,包括要加强专利领域国际层面的平等对话和多边合作、增强企业的专利意识,以及借鉴国外经验进行制度创新,建立中国的专利纠纷调解和仲裁机构,完善专利代理制度,并创新管理手段不断完善和发展中国的专利服务市场,从而在整体上提高中国在专利的创造、运用、保护和管理各方面的水平,这样才有可能较好的应对中国所面临的专利贸易壁垒。
In the age of knowledge economy and globalization, the impact of intellectual property rights on economy and trade is ever-growing. The patent is one of important part of intellectual property, and is very important to innovation. It does not mean to restrict international trade and investment at the beginning. But in the situation that worldwide competition is fierce and traditional tariff barriers and non-tariff barriers to trade have been limited and regulated, the developed countries and relative companies with technical superiority began to use patents as a reasonable and lawful tool to build barriers to trade. In order to safeguard their interests all over the world and maintain the leading edge of technology and profit, the developed countries and their companies developed and advanced the form of patent-related barriers to trade through patent scheme and trade policies and try to combine of patents protection with trade.
China is affected by these patent-related trade barriers increasingly which are very difficult to deal with. At the same time, China also needs a suitable patent protection system to provide proper patent protection to promote domestic innovation in science and technology. This dissertation is trying to have an in-depth study on the patent-related barriers to trade and investment and find out how domestic patent system construction and perfection can function to deal with patent-related barriers effectively.
This dissertation collects and summarizes the patent-related barriers to trade and investment that China is currently faced with, studies the patent-related barriers both in enterprise level and government level, uses the Nordhaus model as a starting point of the mathematical analysis, uses game theory as an analytical tool to analyze the influential factors of the patent-related barriers under the conditions of open economy, and uses econometrics methods to analyze the relationship between the export of various types of technology products and patent barriers to trade. This dissertation regards patent system as the core of the patent-related barriers, analyses the key issues in China's patent system, then gives suggestions on the improvement of patent system to counter the patent-related barriers.
This dissertation analyzes the international evolution of patent system through the perspective of the development of patent-related barriers, and gives an explain to the reason why the Protection of Industrial Property Paris Convention, the Trade-Related Aspects of Intellectual Property Rights (TRIPs Agreement), the Patent Cooperation Treaty (PCT), the Patent Law Treaty (PLT) and the Substantive Patent Law Treaty draft (SPLT) are established. This dissertation also highlights the functioning mechanism of different types of patent-related barriers and the impact pattern, esp. how different kind of patent-related barriers functions through patent system. The dissertation also studies the impact of patent-related barriers on China's foreign trade with specific case studies on patent litigation and patent license,337investigation, and also patent accumulation and patent speculation. This dissertation finds that with China's foreign trade competitiveness being on the rise, the exports of technology-intensive products expands constantly, which has brought challenges and threats to competitors in developed countries. Meanwhile, although China has made much progress in the protection of intellectual property, it's still insufficient in the intellectual property awareness, institution building, and talent pool, and the capacity of technological innovation and intellectual achievements transformation needs to be improved. In this situation, the developed countries are trying to make use of its comparative advantage on technology and patent institution, and set various trade barriers, seeking to maintain and even expand its dominant position. Faced with this situation, feasible approach for China is to strengthen the construction of the patent system and improve the capability to deal with patent barriers.
On the basis of the above analysis on patent-related barriers to trade, the dissertation turns to the key issue of China's patent system, such as the patent dispute settlement mechanism and the patent agent market, and discusses the present situation and the problems in detail. Finally, the dissertation puts forward some suggestions, includes that China should strengthen the multilateral cooperation and dialogue in the field of the patent protection, raising the patent protection awareness in the whole society, esp. in enterprises, and flourishing the market of patent-related services. For the patent system, the dissertation suggests to establish an Arbitration and Mediation Center for patent disputes, and improve the system of the patent intermediary agents and increase their efficiency. All the suggestions are raised to construct a better patent environment and improve the protection and management of patents and encourage innovation, thus it is possible for China to deal with the patent-related barriers better.
本文总结和梳理了当前中国面临的与专利有关的贸易与投资壁垒,将政府层面的专利贸易壁垒与企业层面与专利有关的做法结合起来,以Nordhaus模型作为数理分析的起点,利用博弈理论作为分析工具研究了在开放经济条件下专利贸易壁垒的相关影响因素,并利用计量经济学方法实证分析了各类技术产品的出口与专利贸易壁垒之间的关系,将专利制度视为专利贸易壁垒的核心,分析当前中国专利制度存在的问题,从加强专利制度建设以应对国外专利贸易壁垒的角度提出对策建议。本文首先从对基础专利贸易壁垒的分析出发,按照专利贸易壁垒发展的内在逻辑顺序对专利制度的国际演化进行了分析,从专利贸易壁垒的视角解释了保护工业产权巴黎公约、与贸易有关的知识产权协议(TRIPs协议)、专利合作条约(PCT)、专利法条约(PLT)和实体专利法条约草案(SPLT)等条约、协议产生和缔结的原因,进而对不同种类的专利贸易壁垒的作用机理和影响模式进行了重点说明,特别是各类专利贸易壁垒如何通过专利制度来发挥作用方面,并结合具体案例重点分析国外专利保护,包括专利诉讼和专利许可、337调查,以及专利积聚与专利投机对中国的影响及原因。本文认为,随着中国对外贸易竞争力的不断提升,技术密集型产品出口不断扩大,对发达国家的竞争对手带来挑战和威胁；同时,中国在知识产权保护方面虽然已经取得很大进步,但在知识产权理念意识、制度建设、以及人才储备等方面还存在不足,技术创新能力和知识产权成果转化能力有待提高。在这种情况下,发达国家就利用其在技术和专利制度上的优势地位,设置各种贸易壁垒,限制中国,谋求保持甚至扩大其优势地位。面对这种情况,中国可行的做法是加强自身专利制度建设,修炼内功,提高应对专利贸易壁垒的能力。为此,本文在对专利贸易壁垒进行上述分析的基础上,对中国专利制度中的与专利贸易壁垒密切相关的专利纠纷解决机制和专利代理市场问题等进行了较为深入、详尽的讨论,进而有针对性的提出了中国在目前条件下可行的对策建议,包括要加强专利领域国际层面的平等对话和多边合作、增强企业的专利意识,以及借鉴国外经验进行制度创新,建立中国的专利纠纷调解和仲裁机构,完善专利代理制度,并创新管理手段不断完善和发展中国的专利服务市场,从而在整体上提高中国在专利的创造、运用、保护和管理各方面的水平,这样才有可能较好的应对中国所面临的专利贸易壁垒。
In the age of knowledge economy and globalization, the impact of intellectual property rights on economy and trade is ever-growing. The patent is one of important part of intellectual property, and is very important to innovation. It does not mean to restrict international trade and investment at the beginning. But in the situation that worldwide competition is fierce and traditional tariff barriers and non-tariff barriers to trade have been limited and regulated, the developed countries and relative companies with technical superiority began to use patents as a reasonable and lawful tool to build barriers to trade. In order to safeguard their interests all over the world and maintain the leading edge of technology and profit, the developed countries and their companies developed and advanced the form of patent-related barriers to trade through patent scheme and trade policies and try to combine of patents protection with trade.
China is affected by these patent-related trade barriers increasingly which are very difficult to deal with. At the same time, China also needs a suitable patent protection system to provide proper patent protection to promote domestic innovation in science and technology. This dissertation is trying to have an in-depth study on the patent-related barriers to trade and investment and find out how domestic patent system construction and perfection can function to deal with patent-related barriers effectively.
This dissertation collects and summarizes the patent-related barriers to trade and investment that China is currently faced with, studies the patent-related barriers both in enterprise level and government level, uses the Nordhaus model as a starting point of the mathematical analysis, uses game theory as an analytical tool to analyze the influential factors of the patent-related barriers under the conditions of open economy, and uses econometrics methods to analyze the relationship between the export of various types of technology products and patent barriers to trade. This dissertation regards patent system as the core of the patent-related barriers, analyses the key issues in China's patent system, then gives suggestions on the improvement of patent system to counter the patent-related barriers.
This dissertation analyzes the international evolution of patent system through the perspective of the development of patent-related barriers, and gives an explain to the reason why the Protection of Industrial Property Paris Convention, the Trade-Related Aspects of Intellectual Property Rights (TRIPs Agreement), the Patent Cooperation Treaty (PCT), the Patent Law Treaty (PLT) and the Substantive Patent Law Treaty draft (SPLT) are established. This dissertation also highlights the functioning mechanism of different types of patent-related barriers and the impact pattern, esp. how different kind of patent-related barriers functions through patent system. The dissertation also studies the impact of patent-related barriers on China's foreign trade with specific case studies on patent litigation and patent license,337investigation, and also patent accumulation and patent speculation. This dissertation finds that with China's foreign trade competitiveness being on the rise, the exports of technology-intensive products expands constantly, which has brought challenges and threats to competitors in developed countries. Meanwhile, although China has made much progress in the protection of intellectual property, it's still insufficient in the intellectual property awareness, institution building, and talent pool, and the capacity of technological innovation and intellectual achievements transformation needs to be improved. In this situation, the developed countries are trying to make use of its comparative advantage on technology and patent institution, and set various trade barriers, seeking to maintain and even expand its dominant position. Faced with this situation, feasible approach for China is to strengthen the construction of the patent system and improve the capability to deal with patent barriers.
On the basis of the above analysis on patent-related barriers to trade, the dissertation turns to the key issue of China's patent system, such as the patent dispute settlement mechanism and the patent agent market, and discusses the present situation and the problems in detail. Finally, the dissertation puts forward some suggestions, includes that China should strengthen the multilateral cooperation and dialogue in the field of the patent protection, raising the patent protection awareness in the whole society, esp. in enterprises, and flourishing the market of patent-related services. For the patent system, the dissertation suggests to establish an Arbitration and Mediation Center for patent disputes, and improve the system of the patent intermediary agents and increase their efficiency. All the suggestions are raised to construct a better patent environment and improve the protection and management of patents and encourage innovation, thus it is possible for China to deal with the patent-related barriers better.
引文
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