3D打印视域下个人非营利性实施专利规则研究
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摘要
3D打印技术的发展将带来个性化定制的兴盛。在此背景下,个人实施专利成果的门槛,将随着低成本、高还原、难追查的个性化定制而逐渐降低,从而导致专利侵权的泛滥。但过强的专利权保护,亦将阻碍社会发展和科技进步。因此,作为维护公私利益平衡的专利合理使用制度将得到重视,并受3D打印的影响产生新的需求。而作为受影响最大的个人非营利性实施专利规则,其在新需求下的具体适用直接决定了合理使用目标的达成。然而,该规则在中国法律中仍是空白。所以,应结合欧美先进经验,通过在专利法中增设相关条款的方式,以来促进以3D打印为代表的颠覆性技术创新在中国的发展。
The development of 3D printing would bring about the prosperity of the personalized customization. Accordingly, the threshold for individuals to implement patents may be reduced by the personalized customization which are low-cost, high-reduction and difficult-to-trace, so as to cause the uncontrollable patent infringements. However, the protection to patents may be too strong to promote the social development and technological progress. Hence, the fair use of patents, as a balance between public and private interests, which would be refocused and generate new demands in the light of 3D printing. In the meantime, the private and non-commercial use that is the most affected rule of fair use, would determine whether the fair use would achieve its objective according to the new demands mentioned before. Nevertheless, this rule is still a gap of China's patent law. Therefore, it should study on the related experience of legal systems of Europe and the United States and improve China's relevant legislations, in order to promote the development of the disruptive technological innovation in this nation.
The development of 3D printing would bring about the prosperity of the personalized customization. Accordingly, the threshold for individuals to implement patents may be reduced by the personalized customization which are low-cost, high-reduction and difficult-to-trace, so as to cause the uncontrollable patent infringements. However, the protection to patents may be too strong to promote the social development and technological progress. Hence, the fair use of patents, as a balance between public and private interests, which would be refocused and generate new demands in the light of 3D printing. In the meantime, the private and non-commercial use that is the most affected rule of fair use, would determine whether the fair use would achieve its objective according to the new demands mentioned before. Nevertheless, this rule is still a gap of China's patent law. Therefore, it should study on the related experience of legal systems of Europe and the United States and improve China's relevant legislations, in order to promote the development of the disruptive technological innovation in this nation.
引文
1 CAD文件就是数字化制造相关文件的一种,其全称为:Computer Aided Design(计算机辅助设计)。See Osborn Lucas.The Limits of Creativity in Copyright:Digital Manufacturing Files and Lockout Codes[J],Texas A&M University Journal of Property Law,Vol.4,2017:26.
2 Ballardini M Rosa,Lee Nari.The Private and Non-commercial Use Defence revistied:The case of 3D printing Technologies[J],3D Printing,Intellectual Property and Innovation,Kluwer Law International,2017:170.
3彭霞:《专利权合理使用制度研究》,西南交通大学出版社,2016版,第46至48页。
4 Lunney JR G S.Fair use and market failure:Sony revisited[J],BUL Rev.,2002,82:975.
5 Ku R S R.Consumers and Creative Destruction:Fair Use Beyond Market Failure[J],Berkeley Tech.LJ,2003,18:539.
6 Van Overwalle G.Fair Use:A Workable Concept in European Patent Law?[J],Compulsory licensing.Springer Berlin Heidelberg,2015:428.
7刘强:《3D打印与知识产权法》,北京:知识产权出版社,2017版,第64页。
8 Larena D,Rithcie L.What Copyright Teaches Patent Law about Fair Use and Why Universities Are ignoring the Lesson[J],Or.L.Rev.,2005,84:779.
9 Brean Daniel Harris.Asserting Patents to Combat Infringement via 3D Printing:It’s No‘Use’[J],Fordham Intell.Prop.Media&Ent.LJ 23,2013:771.
10 819 F.3d 1334(Fed.Cir.Mar.31,2016).
11 ITC institutes investigation No 337-TA-383.
12 Sim?es Bruno G.Cross-Border Intellectual Property Rights in Digital Data:The Legal Framework in Europe and the United States in the Light of ClearCorrect v.US International Trade Commission[J],11 Global Trade and Customs Journal,Issue 2,2016:50.
13尹新天:《中国专利法详解(缩编版)》,北京:知识产权出版社,2012版,第93页。
14汤宗舜:《专利法解说》,北京:法律出版社,2003版,第72至73页。
15 See WIPO.Questionnaire on Exceptions and Limitations to Patent Rights,replied by SIPO[EB/OL].(2018-05-01).http://www.wipo.int/export/sites/www/scp/en/exceptions/submissions/china.pdf,最后访问日期:2018年4月11日。
16俄罗斯《民法典》第1359(4)条中详细规定了“私人、家庭、当地或非营利性且无收益”的专利侵权例外,可见俄罗斯立法对于“个人”解释的更为清晰。同时,在俄罗斯《民法典》的完整体系下,其第2(1)条对于“商业活动”有明确的定义,这样对于“个人非营利性实施”的解释和适用提供了较为完整的体系参照。
17 Bechtold S.3D Printing,Intellectual Property and Innovation Policy[J],IIC-International Review of Intellectual Property and Competition Law,47(5),2016:2.
18以色列和菲律宾的专利立法中对于“个人非营利性”进行了数量规模(scale)的规制,而以色列还将对“非营利性”的内涵进行了要求。See De Jonge B,Maister B H.The Many National Formulations of the'Private and Non-Commercial Use'Exception in Patent Law:Which,If Any,Satisfy Trips?[J],Social Science Electronic Publishing,2016:7.
19 EWHC 1517(Pat)[2016].
20 Osborn L S.Regulating Three-Dimensional Printing:The Converging Worlds of Bits and Atoms[J].San Diego L.Rev.,2014:553.
21 Holbrook Timothy,Osborn Lucas.Digital patent infringement in an era of 3D printing[J],48(4)U.C.DAVIS L rev,2015:1319.
22 WIPO.Standing committee on the law of patents(Twentieth session).Exceptions and limitations to patent rights:private and/or non-commercial use[R],Geneva,2014:27-31.
23胡滨斌:《<专利法>第11条“除本法另有规定的以外”之辨析》,载《交大法学》2017年第2期,第134-135页。
24见注释23,第135页。
25 See Regulation(EU)No 1257/2012 of the European Parliament and of the Council of 17 December 2012 implementing enhanced cooperation in the area of the creation of unitary patent protection(OJEU L 361,31.12.2012,p.1).
26希腊《技术转移、发明与技术创新法》(第1733/1987号)第10.2b条;芬兰《专利法》(1967/550)第1章第3条.
27荷兰《专利法》(1995)第53条.
28德国学者将个人实施的场景限定在寓所、家务场合、日常运动、私人游戏以及家庭娱乐等等。See Haedicke M,Timmann H(eds).Patent law.A handbook on European and German patent law[M].Baden-Baden,Beck-Hart-Nomos,2014:791.
29 Blanke-Roeser C.3D-Druck als Herausforderung für das deutsche und europ?ische Patentrecht-Rechtlicher Rahmen und Chancen für Rechteinhaber[J],Interdisziplin?re Perspektiven zur Zukunft der Wertsch?pfung.Springer Gabler,Wiesbaden,2018:140.
30见注释6,p.425。
31见注释2,p.173。
32见注释22。
33 Desai DR,Magliocca GN.Patents meet napster:3D printing and the digitization of things[J],Georget Law J 2014:1716.
34 FSR 513,518[1989].
35见注释9,p.788。
36 Mendoza A J.Legal and Social Implications of the 3D Printing Revolution[J],CMC Senior Theses,Claremont Colleges,2015:51-52.
37马忠法:《3D打印中的知识产权问题》,载《电子知识产权》2014年第5期,第37页。
38见注释23,第138页。
39《指南》中将“个人非营利性实施”(第130条)划分为第五章第(三)节“不侵权抗辩”中,而将“权利用尽”(第131条)、“在先权”(第132、133条)、“临时过境”(第134条)、“科学研究与实验”(第135条)与“行政审批”(第136条)归类为第(四)节“不视为侵权的抗辩”之中。
40[日]田村善之:《“知识创作物未保护领域”之思维模式的陷阱》,载《法学家》2010年第1(4)期,第127页。
41 2015年4月,国家知识产权局关于《中华人民共和国专利法修改草案(征求意见稿)的说明》中对第十四条的立法解释如下:“……著作权法、商标法等相关知识产权法律及世贸组织的TRIPS协定均规定了权利行使的基本原则。因此,有必要在专利法中增加原则性条款,体现规制专利权滥用、平衡专利权人利益与社会公共利益的基本立场……”,详见:http://www.sipo.gov.cn/ztzl/zlfxg/xylzlfxg/1051930.htm,最后访问日期:2018年3月15日.
42《建议稿》第二十四条规定:为公共利益或其他正当目的之所需,可以通过合理使用、法定许可和强制许可等方式对知识产权的内容进行必要的限制、知识产权的限制必须依法律规定做出,且限制程度不得超出该限制的目的范围。详见中国知识产权法学研究会:《<中华人民共和国民法典知识产权编>学者建议稿》(EB/OL).http://www.sohu.com/a/192742988_662101,最后访问日期:2018年4月11日。
2 Ballardini M Rosa,Lee Nari.The Private and Non-commercial Use Defence revistied:The case of 3D printing Technologies[J],3D Printing,Intellectual Property and Innovation,Kluwer Law International,2017:170.
3彭霞:《专利权合理使用制度研究》,西南交通大学出版社,2016版,第46至48页。
4 Lunney JR G S.Fair use and market failure:Sony revisited[J],BUL Rev.,2002,82:975.
5 Ku R S R.Consumers and Creative Destruction:Fair Use Beyond Market Failure[J],Berkeley Tech.LJ,2003,18:539.
6 Van Overwalle G.Fair Use:A Workable Concept in European Patent Law?[J],Compulsory licensing.Springer Berlin Heidelberg,2015:428.
7刘强:《3D打印与知识产权法》,北京:知识产权出版社,2017版,第64页。
8 Larena D,Rithcie L.What Copyright Teaches Patent Law about Fair Use and Why Universities Are ignoring the Lesson[J],Or.L.Rev.,2005,84:779.
9 Brean Daniel Harris.Asserting Patents to Combat Infringement via 3D Printing:It’s No‘Use’[J],Fordham Intell.Prop.Media&Ent.LJ 23,2013:771.
10 819 F.3d 1334(Fed.Cir.Mar.31,2016).
11 ITC institutes investigation No 337-TA-383.
12 Sim?es Bruno G.Cross-Border Intellectual Property Rights in Digital Data:The Legal Framework in Europe and the United States in the Light of ClearCorrect v.US International Trade Commission[J],11 Global Trade and Customs Journal,Issue 2,2016:50.
13尹新天:《中国专利法详解(缩编版)》,北京:知识产权出版社,2012版,第93页。
14汤宗舜:《专利法解说》,北京:法律出版社,2003版,第72至73页。
15 See WIPO.Questionnaire on Exceptions and Limitations to Patent Rights,replied by SIPO[EB/OL].(2018-05-01).http://www.wipo.int/export/sites/www/scp/en/exceptions/submissions/china.pdf,最后访问日期:2018年4月11日。
16俄罗斯《民法典》第1359(4)条中详细规定了“私人、家庭、当地或非营利性且无收益”的专利侵权例外,可见俄罗斯立法对于“个人”解释的更为清晰。同时,在俄罗斯《民法典》的完整体系下,其第2(1)条对于“商业活动”有明确的定义,这样对于“个人非营利性实施”的解释和适用提供了较为完整的体系参照。
17 Bechtold S.3D Printing,Intellectual Property and Innovation Policy[J],IIC-International Review of Intellectual Property and Competition Law,47(5),2016:2.
18以色列和菲律宾的专利立法中对于“个人非营利性”进行了数量规模(scale)的规制,而以色列还将对“非营利性”的内涵进行了要求。See De Jonge B,Maister B H.The Many National Formulations of the'Private and Non-Commercial Use'Exception in Patent Law:Which,If Any,Satisfy Trips?[J],Social Science Electronic Publishing,2016:7.
19 EWHC 1517(Pat)[2016].
20 Osborn L S.Regulating Three-Dimensional Printing:The Converging Worlds of Bits and Atoms[J].San Diego L.Rev.,2014:553.
21 Holbrook Timothy,Osborn Lucas.Digital patent infringement in an era of 3D printing[J],48(4)U.C.DAVIS L rev,2015:1319.
22 WIPO.Standing committee on the law of patents(Twentieth session).Exceptions and limitations to patent rights:private and/or non-commercial use[R],Geneva,2014:27-31.
23胡滨斌:《<专利法>第11条“除本法另有规定的以外”之辨析》,载《交大法学》2017年第2期,第134-135页。
24见注释23,第135页。
25 See Regulation(EU)No 1257/2012 of the European Parliament and of the Council of 17 December 2012 implementing enhanced cooperation in the area of the creation of unitary patent protection(OJEU L 361,31.12.2012,p.1).
26希腊《技术转移、发明与技术创新法》(第1733/1987号)第10.2b条;芬兰《专利法》(1967/550)第1章第3条.
27荷兰《专利法》(1995)第53条.
28德国学者将个人实施的场景限定在寓所、家务场合、日常运动、私人游戏以及家庭娱乐等等。See Haedicke M,Timmann H(eds).Patent law.A handbook on European and German patent law[M].Baden-Baden,Beck-Hart-Nomos,2014:791.
29 Blanke-Roeser C.3D-Druck als Herausforderung für das deutsche und europ?ische Patentrecht-Rechtlicher Rahmen und Chancen für Rechteinhaber[J],Interdisziplin?re Perspektiven zur Zukunft der Wertsch?pfung.Springer Gabler,Wiesbaden,2018:140.
30见注释6,p.425。
31见注释2,p.173。
32见注释22。
33 Desai DR,Magliocca GN.Patents meet napster:3D printing and the digitization of things[J],Georget Law J 2014:1716.
34 FSR 513,518[1989].
35见注释9,p.788。
36 Mendoza A J.Legal and Social Implications of the 3D Printing Revolution[J],CMC Senior Theses,Claremont Colleges,2015:51-52.
37马忠法:《3D打印中的知识产权问题》,载《电子知识产权》2014年第5期,第37页。
38见注释23,第138页。
39《指南》中将“个人非营利性实施”(第130条)划分为第五章第(三)节“不侵权抗辩”中,而将“权利用尽”(第131条)、“在先权”(第132、133条)、“临时过境”(第134条)、“科学研究与实验”(第135条)与“行政审批”(第136条)归类为第(四)节“不视为侵权的抗辩”之中。
40[日]田村善之:《“知识创作物未保护领域”之思维模式的陷阱》,载《法学家》2010年第1(4)期,第127页。
41 2015年4月,国家知识产权局关于《中华人民共和国专利法修改草案(征求意见稿)的说明》中对第十四条的立法解释如下:“……著作权法、商标法等相关知识产权法律及世贸组织的TRIPS协定均规定了权利行使的基本原则。因此,有必要在专利法中增加原则性条款,体现规制专利权滥用、平衡专利权人利益与社会公共利益的基本立场……”,详见:http://www.sipo.gov.cn/ztzl/zlfxg/xylzlfxg/1051930.htm,最后访问日期:2018年3月15日.
42《建议稿》第二十四条规定:为公共利益或其他正当目的之所需,可以通过合理使用、法定许可和强制许可等方式对知识产权的内容进行必要的限制、知识产权的限制必须依法律规定做出,且限制程度不得超出该限制的目的范围。详见中国知识产权法学研究会:《<中华人民共和国民法典知识产权编>学者建议稿》(EB/OL).http://www.sohu.com/a/192742988_662101,最后访问日期:2018年4月11日。