知识产权滥用规制制度研究
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摘要
本文通过对一些国家规制知识产权滥用制度的比较发现,对知识产权滥用有四方面不同的界定和规制制度。英国专利法从授予专利的目的在于提升本国产业出发,将专利权人没有理由却不在本国实施专利,或公众对专利产品的需要没有得到充分满足等视为滥用专利权,并以颁发强制许可的措施予以制约。美国在专利审判实践中,将专利权人超越专利权的范围、对他人使用其专利技术设置各种不合理限制的行为视为滥用专利,如果法官认定滥用行为存在,将不对专利权人进行保护,直到专利滥用的行为得到纠正。各国的反垄断法都对知识产权权利人因行使知识产权而排除、限制竞争的行为进行规制,这些排除、限制竞争的行为也可以视为知识产权滥用。还有,知识产权人不诚实地以侵权诉讼相威胁或者恶意提起侵权诉讼,以限制他人对技术或信息的使用,在英国、美国、日本、欧共体的法律或司法实践中也被视为是对知识产权的滥用,并用不同的措施加以规制。总之,知识产权滥用是权利人行使知识产权时违反法律规定或公共政策的行为,主要表现为各种不合理地拒绝或者限制他人使用其知识产权的行为。知识产权滥用造成的直接后果就是限制和阻碍知识创新成果的转移和扩散。
规制知识产权滥用是促进技术转让、实现技术进步的必要制度保障。经济学的研究表明,技术进步依赖于人力资本投资(技术创新)和知识溢出(技术扩散)的共同作用。虽然技术扩散存在诸多的困难,但技术转让是获取技术秘密或隐性知识的一个重要途径,国际间的技术转让更有助于发展中国家实现技术进步。然而,从利益最大化的原则出发,权利人只有在对自己是有利的情况下才会转让自己的技术。为了维持自己的垄断优势,权利人经常会滥用自己在技术、信息、品牌等方面的独占权利,拒绝转让自己的技术,或者在技术转让协议中对受让方设置种种限制,以排除他人的竞争、限制技术的转移。因此,任凭知识产权滥用而不加以规制,以知识产权制度促进技术创新、技术转移和信息扩散的目标就难以实现,最终有害于一国的技术进步和经济增长。
各国规制知识产权滥用的措施和制度纷繁复杂,但强制许可措施在其中扮演着核心的角色。强制许可意味着不经权利人许可就可以使用某个知识产权,这将直接消除权利人限制技术转移和排除他人竞争的企图,但也同时给权利人足够的利益补偿,保持知识产权激励创新的功能。英国、美国、加拿大、欧共体以及巴西等国家和地区的强制许可实践充分说明了强制许可在规制知识产权滥用中的有效性与可操作性。同时,一些实证研究表明,强制许可会损害技术创新的假设是不成立的。相反,强制许可发生后,绝大多数的公司都继续保持一样的创新活动甚至加大了创新的步伐。另外,学者通过对专利强制许可和专利垄断效益的经济分析也表明,强制许可与专利垄断一样可以实现对技术创新的激励,但强制许可显然可以减少专利垄断带来的公众在获取专利产品上的障碍。因此,强制许可措施作为规制知识产权滥用的一个核心措施,具有经济上的合理性。
从《巴黎公约》到TRIPs协议,强制许可作为规制知识产权滥用的措施也一直是各国关注、争议的焦点问题。强制许可制度的发展呈现出两条近乎矛盾的轨迹:一方面,强制许可超越了专利法的范围,不断地被用来作为防止其他知识产权滥用的利器,还被反垄断法用来规制知识产权滥用行为;另一方面,一些国家,特别是发达国家对于强制许可的采用规定了越来越多的限制条件,这些条件已经通过TRIPs协议普遍适用于WTO成员,使得发展中国家利用强制许可来规制知识产权滥用、促进技术转让的可能性越来越受限制。为了有效利用强制许可措施,发展中国家既要尽可能地跟踪专利技术信息,提高对专利产品的仿制能力,为实施强制许可提供技术上的支撑;又要利用TRIPs协议提供的法律空间,根据本国的需要充分地规定颁发强制许可的理由,并在TRIPs协议框架内争取取消对强制许可的一些不合理的限制条件。
TRIPs协议中关于限制竞争行为、强制许可和滥用知识产权执法程序的规定已经为成员规制知识产权滥用设定了全面的制度框架。我国应该在TRIPs协议的框架下完善规制知识产权滥用的制度,以优化我国知识产权制度。在专利强制许可方面,可以将不实施专利或者不充分实施专利、限制竞争的行为作为颁发强制许可的理由;对于滥用明显无效的专利主张权利的行为,除了规定惩戒措施外,还应该严格专利审查标准、提高专利授权质量来减少问题专利;在反垄断法对知识产权滥用的规制上,应该借鉴发达国家的立法,明确知识产权滥用是权利人违反反垄断法的结果,并不是适用反垄断法的前提,避免以反垄断法规制知识产权滥用走入误区。
By comparing the system of preventing the IP abuse in some countries, it is found that there are four different systems to define and prevent the IP abuse. In UK Patent Law, where the patented invention is not being commercially worked in the UK, or where a demand for the patented product in the UK is not being met on reasonable terms, it is an abuse of the monopoly and it will lead to a compulsory license or an endorsement of license of right. In American patent litigation, it is a patent misuse if the patentee improperly attempts to extend the scope of the patent. Patent misuse refers to an affirmative defense to an action for patent infringement. If misuse is found, the patent is rendered unenforceable until the misuse is purged. An IP holder will violate the Anti-monopoly law (or Anti-trust law or Anti-restriction of competition law) in different countries if the exercise of the IP rights excludes or retrains the competition. The conducts to exclude or restraint the competition can also be seemed as IP abuse. In addition to above mentioned, if the IP holder makes groundless threats of proceedings for infringement of IP rights or enforces the IP rights in bad faith, it is also an abuse of the IP in UK, USA, Japan, EU and so on. Above all, the IP abuse is the conduct that the IP holder violates laws or public policies when he exercises his IP rights, includes but not limits to following practices: failure to work and refusal to license, working insufficiently and refusal to license, unilateral refusal to license and abuse the market power, conditional refusal to license (vertical restriction), concerted refusal to license (horizontal restriction), unfaithful enforcement of the IP or abuse of the enforcement procedure. In summary, the result of IP abuse is restraining the transfer and diffusion of the technology and information protected by IP rights.
The system to prevent the IP abuse is very important to promote the technology transfer and realize the technology progress in a country. From the classic economic growth theory to the new economic growth theory it is shown that the technology progress is important in economic growth. The economy research also shows that the technology progress depends on the mutual functions of resource investment (technology innovation) and knowledge overflow (technology diffusion). Although it is difficult to diffuse the technology, technology transfer will help to acquire the know-how and tacit knowledge and the international technology transfer will help the developing countries realizing the technology progress. But the IP holder will not transfer his technology besides he can benefit much more from it. Usually he will refuse to transfer his technology or set some restrictions in the licensing agreement to maintain his exclusive position and exclude competitions from others. If such IP abusing practices can not be regulated, it will harm to the technology progress and economic growth in a country.
The measures to prevent IP abuse are in many ways in different countries and the compulsory licensing is in the core of them. The compulsory licensing can not only prevent the IP holder from impeding the technology transfer but also encourage the innovation for reasonable remuneration to the IP holder. The practices in UK, USA, Canada, EU and Brazil and so on are powerful evidences to show the compulsory licensing is an effective measure to prevent the IP abuse. At the same time, some empirical researches show the hypothesis that compulsory licensing will harms innovation is not true. In fact, the activities of innovation continued at the same or even higher pace than before the advent of a compulsory license. The economic analysis to the effect of a compulsory patent licensing and a legal patent monopoly also shows that a legal monopoly and an automatic compulsory license are equivalent in order to fulfill the goal of promoting or rewarding innovation, but an automatic compulsory license fixing a compensatory royalty rate can improve the accessibility to the patent product. From above, we conclude that compulsory licensing as a key measure to prevent the IP abuse is reasonable in economy.
There were many debates in the course of development of compulsory licensing system from Paris Convention to TRIPs. On one hand, compulsory licensing was not only used to prevent the abuse of patent monopoly and other IP rights but also used as a measure in anti-monopoly law to regulate the abuse of IP. On the other hand, some nations especially developed countries limited the issue of compulsory licensing through TRIPs. There are much more difficulties to use the compulsory licensing as a measure to regulate the IP abuse in developing countries. But the developing countries still have much legal space under TRIPs to enact the ground of compulsory licensing in the domestic law. It is still possible to abolish some unreasonable condition of compulsory licensing in the TRIPs.
TRIPs provided a comprehensive legal system to prevent the IP abuse, which is including the general principle of preventing the abuse of IP rights, use of the subject matter of a patent without the authorization of the right holder, control of anti-competitive practices in contractual licenses and safeguards against the abuse of IP enforcement procedures. We can set up a legal system including anti-monopoly, compulsory licensing, IP misuse as infringement defense and prevention of the abuse of enforcement procedures. Failure to work the patent and anti-competitive practices can be the ground of compulsory licensing in the Patent Law. In the drafting Anti-monopoly Law, it is important to regulate that IP abuse is not the precondition of anti-monopoly law violation but the result of the violation of the law. To prevent against the abuse of patent litigation, it is necessary to promote the quality of the patent and to reduce the questionable patent.
规制知识产权滥用是促进技术转让、实现技术进步的必要制度保障。经济学的研究表明,技术进步依赖于人力资本投资(技术创新)和知识溢出(技术扩散)的共同作用。虽然技术扩散存在诸多的困难,但技术转让是获取技术秘密或隐性知识的一个重要途径,国际间的技术转让更有助于发展中国家实现技术进步。然而,从利益最大化的原则出发,权利人只有在对自己是有利的情况下才会转让自己的技术。为了维持自己的垄断优势,权利人经常会滥用自己在技术、信息、品牌等方面的独占权利,拒绝转让自己的技术,或者在技术转让协议中对受让方设置种种限制,以排除他人的竞争、限制技术的转移。因此,任凭知识产权滥用而不加以规制,以知识产权制度促进技术创新、技术转移和信息扩散的目标就难以实现,最终有害于一国的技术进步和经济增长。
各国规制知识产权滥用的措施和制度纷繁复杂,但强制许可措施在其中扮演着核心的角色。强制许可意味着不经权利人许可就可以使用某个知识产权,这将直接消除权利人限制技术转移和排除他人竞争的企图,但也同时给权利人足够的利益补偿,保持知识产权激励创新的功能。英国、美国、加拿大、欧共体以及巴西等国家和地区的强制许可实践充分说明了强制许可在规制知识产权滥用中的有效性与可操作性。同时,一些实证研究表明,强制许可会损害技术创新的假设是不成立的。相反,强制许可发生后,绝大多数的公司都继续保持一样的创新活动甚至加大了创新的步伐。另外,学者通过对专利强制许可和专利垄断效益的经济分析也表明,强制许可与专利垄断一样可以实现对技术创新的激励,但强制许可显然可以减少专利垄断带来的公众在获取专利产品上的障碍。因此,强制许可措施作为规制知识产权滥用的一个核心措施,具有经济上的合理性。
从《巴黎公约》到TRIPs协议,强制许可作为规制知识产权滥用的措施也一直是各国关注、争议的焦点问题。强制许可制度的发展呈现出两条近乎矛盾的轨迹:一方面,强制许可超越了专利法的范围,不断地被用来作为防止其他知识产权滥用的利器,还被反垄断法用来规制知识产权滥用行为;另一方面,一些国家,特别是发达国家对于强制许可的采用规定了越来越多的限制条件,这些条件已经通过TRIPs协议普遍适用于WTO成员,使得发展中国家利用强制许可来规制知识产权滥用、促进技术转让的可能性越来越受限制。为了有效利用强制许可措施,发展中国家既要尽可能地跟踪专利技术信息,提高对专利产品的仿制能力,为实施强制许可提供技术上的支撑;又要利用TRIPs协议提供的法律空间,根据本国的需要充分地规定颁发强制许可的理由,并在TRIPs协议框架内争取取消对强制许可的一些不合理的限制条件。
TRIPs协议中关于限制竞争行为、强制许可和滥用知识产权执法程序的规定已经为成员规制知识产权滥用设定了全面的制度框架。我国应该在TRIPs协议的框架下完善规制知识产权滥用的制度,以优化我国知识产权制度。在专利强制许可方面,可以将不实施专利或者不充分实施专利、限制竞争的行为作为颁发强制许可的理由;对于滥用明显无效的专利主张权利的行为,除了规定惩戒措施外,还应该严格专利审查标准、提高专利授权质量来减少问题专利;在反垄断法对知识产权滥用的规制上,应该借鉴发达国家的立法,明确知识产权滥用是权利人违反反垄断法的结果,并不是适用反垄断法的前提,避免以反垄断法规制知识产权滥用走入误区。
By comparing the system of preventing the IP abuse in some countries, it is found that there are four different systems to define and prevent the IP abuse. In UK Patent Law, where the patented invention is not being commercially worked in the UK, or where a demand for the patented product in the UK is not being met on reasonable terms, it is an abuse of the monopoly and it will lead to a compulsory license or an endorsement of license of right. In American patent litigation, it is a patent misuse if the patentee improperly attempts to extend the scope of the patent. Patent misuse refers to an affirmative defense to an action for patent infringement. If misuse is found, the patent is rendered unenforceable until the misuse is purged. An IP holder will violate the Anti-monopoly law (or Anti-trust law or Anti-restriction of competition law) in different countries if the exercise of the IP rights excludes or retrains the competition. The conducts to exclude or restraint the competition can also be seemed as IP abuse. In addition to above mentioned, if the IP holder makes groundless threats of proceedings for infringement of IP rights or enforces the IP rights in bad faith, it is also an abuse of the IP in UK, USA, Japan, EU and so on. Above all, the IP abuse is the conduct that the IP holder violates laws or public policies when he exercises his IP rights, includes but not limits to following practices: failure to work and refusal to license, working insufficiently and refusal to license, unilateral refusal to license and abuse the market power, conditional refusal to license (vertical restriction), concerted refusal to license (horizontal restriction), unfaithful enforcement of the IP or abuse of the enforcement procedure. In summary, the result of IP abuse is restraining the transfer and diffusion of the technology and information protected by IP rights.
The system to prevent the IP abuse is very important to promote the technology transfer and realize the technology progress in a country. From the classic economic growth theory to the new economic growth theory it is shown that the technology progress is important in economic growth. The economy research also shows that the technology progress depends on the mutual functions of resource investment (technology innovation) and knowledge overflow (technology diffusion). Although it is difficult to diffuse the technology, technology transfer will help to acquire the know-how and tacit knowledge and the international technology transfer will help the developing countries realizing the technology progress. But the IP holder will not transfer his technology besides he can benefit much more from it. Usually he will refuse to transfer his technology or set some restrictions in the licensing agreement to maintain his exclusive position and exclude competitions from others. If such IP abusing practices can not be regulated, it will harm to the technology progress and economic growth in a country.
The measures to prevent IP abuse are in many ways in different countries and the compulsory licensing is in the core of them. The compulsory licensing can not only prevent the IP holder from impeding the technology transfer but also encourage the innovation for reasonable remuneration to the IP holder. The practices in UK, USA, Canada, EU and Brazil and so on are powerful evidences to show the compulsory licensing is an effective measure to prevent the IP abuse. At the same time, some empirical researches show the hypothesis that compulsory licensing will harms innovation is not true. In fact, the activities of innovation continued at the same or even higher pace than before the advent of a compulsory license. The economic analysis to the effect of a compulsory patent licensing and a legal patent monopoly also shows that a legal monopoly and an automatic compulsory license are equivalent in order to fulfill the goal of promoting or rewarding innovation, but an automatic compulsory license fixing a compensatory royalty rate can improve the accessibility to the patent product. From above, we conclude that compulsory licensing as a key measure to prevent the IP abuse is reasonable in economy.
There were many debates in the course of development of compulsory licensing system from Paris Convention to TRIPs. On one hand, compulsory licensing was not only used to prevent the abuse of patent monopoly and other IP rights but also used as a measure in anti-monopoly law to regulate the abuse of IP. On the other hand, some nations especially developed countries limited the issue of compulsory licensing through TRIPs. There are much more difficulties to use the compulsory licensing as a measure to regulate the IP abuse in developing countries. But the developing countries still have much legal space under TRIPs to enact the ground of compulsory licensing in the domestic law. It is still possible to abolish some unreasonable condition of compulsory licensing in the TRIPs.
TRIPs provided a comprehensive legal system to prevent the IP abuse, which is including the general principle of preventing the abuse of IP rights, use of the subject matter of a patent without the authorization of the right holder, control of anti-competitive practices in contractual licenses and safeguards against the abuse of IP enforcement procedures. We can set up a legal system including anti-monopoly, compulsory licensing, IP misuse as infringement defense and prevention of the abuse of enforcement procedures. Failure to work the patent and anti-competitive practices can be the ground of compulsory licensing in the Patent Law. In the drafting Anti-monopoly Law, it is important to regulate that IP abuse is not the precondition of anti-monopoly law violation but the result of the violation of the law. To prevent against the abuse of patent litigation, it is necessary to promote the quality of the patent and to reduce the questionable patent.
引文
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62 Peter Meinhardt,Inventions,Patents and Monopoly,2~(nd)edition,1950
63 ABA Section of Antitrust Law,Intellectual Property Misuse:Licensing and Litigation(2000)
64 Jay Dratler,Licensing of Intellectual Property,volume 1,5-83-4,Law Journal Press,2005.
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84 Peter Meinhardt, Inventions, Patents and Monopoly, 2~(nd) edition, 1950, at32-3.
85 Peter Meinhardt, 同前, at32.
86 Terrell, 8~(th) edition, by J. R. Jones, 1934, at 324.
87 Patent and Design Act, 1907 (as amended up to 12~(th) July 1932)
88 Patent and Design Act, 1907 (as amended up to 12~(th) July 1932)
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92 Peter Meinhardt, Inventions, Patents and Monopoly, 2~(nd) edition, London: Stevens & Sons Limited, 1950.
93 ABA Section of Antitrust Law, Intellectual Property Misuse: Licensing and Litigation (2000), at9.
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96 ABA Section of Antitrust Law, Intellectual Property Misuse: Licensing and Litigation (2000), at 170-2. 另外参见 Jay Dratler, Licensing of Intellectual Property, volume 1, 5-83-4, Law Journal Press, 2005.
97 ABA Section of Antitrust Law, Intellectual Property Misuse: Licensing and Litigation (2000), at 176-7.
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100 Report of the Committee of the Bundestag on Economic Policy, Dt. Bundestag, 2. Wahlperiode 1953, Drucksache 3644, p. 10. 转引自 Gottfried Glaser, Restrictions on Competition in Patent Licenses and Their Treatment Under American and German Law, In: Texas International Law Journal. Vol. 9, 1974, at 51.
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103 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST,volume 1,2006 supp.,Aspen Law & Business.,at 14-27。
104 Patent Act of 1977,§48A(1)(a).
105 Patent Act of 1977,§48A(1)(b).
106 Patent Act of 1977,§48B(1)(d).
107 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST,volume 1,2006 supp.,Aspen Law & Business.,at 13-25。
108 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST,volume 1,2004 supp.,Aspen Law & Business.,at 13-11。
109 Patent Act of 1977,§48A(1)(c).
110 Patent Act of 1977,§48B(1)(e).
111 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST,volume 1,2006 supp.,Aspen Law & Business.,at 22-2。
112 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST,volume 1,2003 supp.Aspen Law & Business.at 23-2。
113 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST volume 1,2003 supp.Aspen Law & Business.at 24-17。
114 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST,volume 1,2003 supp.Aspen Law & Business.at 24-46。
115 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST volume 1,2003 supp.Aspen Law & Business.,at 13-41。
116 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST volume 1,2005 supp.Aspen Law & Business.at 13-40。
117 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST,volume 1,2006 supp.Aspen Law & Business.at 14-27。
118 Frederic M.Scherer,New perspectives on economic growth and technological innovation,Brookings Institution Press,1999,at 7-8。
119 Thorvaldur Gylfason,Principles of economic growth,Oxford Univ.Press,1999,at 18。
120 Frederic M.Scherer,New perspectives on economic growth and technological innovation,Brookings Institution Press,1999,at 8。
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123 Thorvaldur Gylfason, Principles of economic growth, Oxford Univ. Press, 1999, at 22。
124 Frederic M. Scherer, New perspectives on economic growth and technological innovation, Brookings Institution Press, 1999, at 9
125 Thorvaldur Gylfason, Principles of economic growth, Oxford Univ. Press, 1999, at 22.
126 Frederic M. Scherer, New perspectives on economic growth and technological innovation, Brookings Institution Press, 1999, at 16。
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130 Frederic M. Scherer, New perspectives on economic growth and technological innovation, Brookings Institution Press, 1999, at 22。
131 Frederic M. Scherer, New perspectives on economic growth and technological innovation, Brookings Institution Press, 1999, at 25-6。 以及Thorvaldur Gylfason, Principles of economic growth, Oxford Univ. Press, 1999, at 23。
132 Thorvaldur Gylfason, Principles of economic growth, Oxford Univ. Press, 1999, at 23.
133 Thorvaldur Gylfason, Principles of economic growth, Oxford Univ. Press, 1999, at 24.
134 Frederic M. Scherer, New perspectives on economic growth and technological innovation, Brookings Institution Press, 1999, at 27。
135 Frederic M. Scherer, New perspectives on economic growth and technological innovation, Brookings Institution Press, 1999, at 28。
136 Thorvaldur Gylfason, Principles of economic growth, Oxford Univ. Press, 1999, at 25.
137 Frederic M. Scherer, New perspectives on economic growth and technological innovation, Brookings Institution Press, 1999, at 23。 138 Frederic M. Scherer, New perspectives on economic growth and technological innovation, Brookings Institution Press, 1999, at 23～4。
139 Frederic M. Scherer, New perspectives on economic growth and technological innovation, Brookings Institution Press, 1999, at 24。
140 Frederic M. Scherer, New perspectives on economic growth and technological innovation, Brookings Institution Press, 1999, at 29。
141 Frederic M. Scherer, New perspectives on economic growth and technological innovation, Brookings Institution Press, 1999, at 34。
142 Jacob Schmookler, Invention and economic growth, Harvard University Press, 1966。
143 Frederic M. Scherer, New perspectives on economic growth and technological innovation, Brookings Institution Press, 1999, at 31-2。 144 Frederic M. Scherer, New perspectives on economic growth and technological innovation, Brookings Institution Press, 1999, at 34-5.
145 M. C. J. Canie|¨ls, Knowledge spillovers and economic growth: regional growth differentials across Europe, Edward Elgar, 2000, at 8.
146 M. Polanyi, The Tacit Dimension, London: Reutledge and Kegan Paul, (1966).
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148 G. Myrdal, Economic Theory and Under-Developed Regions. London: Gerald. Duckworth, 1957.
149 Sid Winter, "Knowledge and Competence as Strategic Assets", in D. J.Teece (ed), The Competitive challenge: Strategies for Industrial Innovation and Renewal, Ballinger Publishing Company, Cambridge, 1987.
150 Ashish Arora, Alfonso Gambardella, The Changing Technology of Technological Change, Research Policy, 23, 1994, 523-532.
151 Keith E. Maskus, Encouraging International Technology Transfer. UNCTAD-ICTSD project on IPRs , Issue Paper No. 7,2004.http://www. iprsonline. org/unctadictsd/docs/CS_Maskus.pdf.
152 张诚等,跨国公司的技术溢出效应及其制约因素[J].南开经济研究, 2001(3). http://cts. nankai. edu. cn/html/yjry/zhc2. pdf.
153 Frederic M. Scherer, New perspectives on economic growth and technological innovation, Brookings Institution Press, 1999, at 40.
154 Ashish Arora, Andrea Fosfuri and Alfonso Gambardella , Markets for technology: the economics of innovation and corporate strategy, MIT Press, 2001, at 9.
155 Ashish Arora, Andrea Fosfuri and Alfonso Gambardella , Markets for technology: the economics of innovation and corporate strategy, MIT Press, 2001, at 93, 118.
156 Kenneth J. Arrow, Economic welfare and the allocation of resource for invention,in The Rate and Direction of Incentive Activity:Economic and Social Factors,ed.R.R.Nelson,Princeton University Press,1962.
157 A.Arora,"Licensing tacit knowledge:Intellectual property rights and the market for know-how",1995 Economics of innovation and new technology 4(1):41-59;以及Ashish Arora,Andrea Fosfuri and Alfonso Gambardella,Markets for technology:the economics of innovation and corporate strategy,MIT Press,2001,at 119-25。
150 Sadao Nagaoka,Patents and the other IPRs in use,Institute of Innovation Research,Hitotsubashi University,September 2003,www.wipo.org/patent/meetings/2003/statistics_workshop/en/presentatio n/statistics_workshop_nagaoka.pdf。
159 A.Smith,The Wealth of Nations.Harmondsworth.UK:Penguin Papers.1776.亚当.斯密:《国民财富的性质和原因的研究》[M],北京:商务印书馆,1972。
160 A.Young,Increasing return and economic progress.1928 Economic Journal 38:527-542。
161 G.Stigler,The division of labor is limited by the extent of the market.1951 Journal of Political Economy 59:185-193.
162 Ashish Arora,Andrea Fosfuri and Alfonso Gambardella,Markets for technology:the economics of innovation and corporate strategy,MIT Press,2001,at 6。
163 Ashish Arora,Andrea Fosfuri and Alfonso Gambardella,Markets for technology:the economics of innovation and corporate strategy,MIT Press,2001,at 7。
164 p.Romer,Endogeneous technological change.1990 Journal of Political Economy 98(5):ST1-S102.以及Paul A.David,A TRAGEDY OF THE PUBLIC KNOWLEDGE 'COMMONS'? Global Science,Intellectual Property and the Digital Technology Boomerang.http://citeseer.ist.psu.edu/cache/papers/cs/24110/http:zSzzSzwww.oip rc.ox.ac.ukzSzEJWP0400.pdf/a-tragedy-of-the.pdf.&http://ideas.repec.org/p/wpa/wuwpdc/0502010.html.
165 Alfonso Gambardella,Markets for technology:the economics of innovation and corporate strategy,MIT Press,2001,at 197。
166 Ashish Arora,Andrea Fosfuri and Alfonso Gambardella,Markets for technology:the economics of innovation and corporate strategy,MIY Press,2001,at 198。
167 林毅夫、蔡昉、李周:《中国的奇迹:发展战略与经济改革(增订版)》,上海:三联、人民出版社,1999年第二版,第16页。
168 Ashish Arora,Andrea Fosfuri and Alfonso Gambardella,Markets for technology: the economics of innovation and corporate strategy, MIT Press, 2001, at 253.
169 Ashish Arora, Andrea Fosfuri and Alfonso Gambardella , Markets for technology: the economics of innovation and corporate strategy, MIT Press, 2001, at 122.
170 Ashish Arora, Andrea Fosfuri and Alfonso Gambardella , Markets for technology: the economics of innovation and corporate strategy, MIT Press, 2001, at 125.
171 Ashish Arora, Andrea Fosfuri and Alfonso Gambardella , Markets for technology: the economics of innovation and corporate strategy, MIT Press, 2001, at 125.
172 Michael P. Ryan, Useful Knowledge and the Development Agenda Debate at the World Intellectual Property Organization, at 21. Roundtable Discussion: Useful Knowledge and the Development Agenda at WIPO, Geneva, Switzerland. June 12, 2006.http;//www. law. gwu. edu/NR/rdonlyres/AE6C59EC-25Al-4E2F-BFA2-0432EDF3 A82A/O/WIPO_Dev_Agenda. pdf.
173 UNCTD, Periodic reports 1986: Policies, laws and regulations on transfer, application and development of technology. Prepared by the UNCTAD Secretariat. TD/B/C.6/133. July 1986.
174 New Issues in the Uruguay Round of Multilateral Trade Negotiations. Sales No. E. 90. II. A. 15. (1989); The Determinants of Foreign Direct Investment: A Survey of the Evidence. Sales No. E. 92. II.A. 2. (1990)
175 Ashish Arora, Andrea Fosfuri and Alfonso Gambardella , Markets for technology: the economics of innovation and corporate strategy, MIT Press, 2001, at 264.
176 Ashish Arora, Andrea Fosfuri and Alfonso Gambardella , Markets for technology: the economics of innovation and corporate strategy, MIT Press, 2001, at 266.
177 J. H. Reichman, Intellectual Property in International Trade: Opportunities and Risks of a GATT Connection, 22 Vand J Transnat'l L 747, at 761 (1989).http://eprints.law.duke.edu/archive/00000453/01/22 Vand. J. Transnat %271 L. 747 (1989). pdf.
178 Keith E. Maskus, Encouraging International Technology Transfer. UNCTAD-ICTSD project on IPRs , Issue Paper No. 7, 2004.http://www. iprsonline. org/unctadictsd/projectoutputs. htm#casestu dies.
179 Keith E. Maskus, Encouraging International Technology Transfer. 2004. http://www.iprsonline. org/unctadictsd/pro.jectoutputs. htm#casestudies
180 Correa, Carlos M. (2003), "Can the TRIPS Agreement Foster Technology Transfer to Developing Countries?" Duke. University, manuscript.www.law.duke. edu/TRIPs/webcast. html. in Conference on International Public Goods and Transfer of Technology under a Globalized Intellectual Property Regime, Papers from the Conference on International Public Goods and Transfer of Technology under a Globalized Intellectual Property Regime, held at Duke University School of Law, Durham, North Carolina on 24 - 26 April 2003 , by Keith E. Maskus and Jerome H. Reichman (eds).Cambridge University Press, 2005, at 227.
181 J. H. Dunning, International Production and the Multinational Enterprise , London : G. Allen & Unwin, 1981.
182 Chaim Fershtman & Morton I. Kamien, Cross Licensing of Complementary Technologies, 1990.http://www. kellogg. northwestern.edu/research/math/papers/866. pdf.
183 Ashish Arora, Andrea Fosfuri and Alfonso Gambardella , Markets for technology: the economics of innovation and corporate strategy, MIT Press, 2001, at 177-8.
184 Bronwyn H. Hall, Rose Marie Ham, The Patent Paradox Revisited: Determinants of Patenting in the US Semiconductor Industry, 1980-94, NBER Working Paper No. 7062, Issued in March 1999.
185 D. J. Teece, Technological change and the nature of the firm, in Technical Change and Economic Theory, Ed. by Giovanni Dosi, Christopher Freeman (u. a.), London: Pinter, 1988.
186 Reichman, Jerome H. (1996) From Free Riders to Fair Followers: Global Competition Under the TRIPS Agreement. New York University Journal of International Law and Politics 29:11-93. http://eprints.law.duke.edu/archive/00000095/01/29 N.Y.U. J. Int%271 L. & Pol. 11 (1996-1997). pdf.Abbott, Frederick M. (1998) "The Enduring Enigma of TRIPS: A Challenge for the World Trading System",. Journal of International Economic Law, 497-521, Volume 1, Number 4, December 1998. http://jiel. oxfordjournals. org/cgi/reprint/1/4/497.
187 Herbert Hovenkamp, Mark D. Janis, Mark A. Lemley: IP AND ANTITRUST, volume 1, 2004 supp., Aspen Law & Business., at 6—21.
188 Herbert Hovenkamp, Mark D. Janis, Mark A. Lemley: IP AND ANTITRUST, volume 1,2004 supp.,Aspen Law & Business.,at 6-2/3。
189 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST,volume 1,2005 supp.,Aspen Law & Business.,at 6-32.4/5。
190 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST,volume 1,2003 supp.,Aspen Law & Business.,at 6-36/7。
191 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST,volume 1,2003 supp.,Aspen Law & Business.,at 6-41。
192 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST,volume 1,2003 supp.,Aspen Law & Business.,at 6-41。
193 D.G.Goyder,EC Competition Law,4~(th edition,,)Oxford University Press,2003,at 138.
194 Valentine Korah,An Introductory Guide to EC Competition Law and Practice(7~(th俄地tion)),Hart Publishing,2000,at 200。
195 Consumer Project on Technology:Compulsory Licensing as Remedy to Anticompetitive Practice,at http://www.cptech.org/ip/health/cl/us-at.html,2003年7月18日。
196 BRAZIL Industrial Property Law - Law No.9.279,of May 14,1996,ART.68.
197 乐施会政策及公众教育部:美国与巴西就药物条例的世贸仲裁简介,互联网。
198 乐施会政策及公众教育部:美国与巴西就药物条例的世贸仲裁简介,互联网。
199 Jake Werksman and Alice Palmer,Local working requirements and the TRIPS Agreement:using patent law as a means of ensuring affordable access to essential medicines-a case study from the US-Brazil dispute,Nov.2001.
200 Stephen P.Ladas,Patents,Trademarks,and Related Rights- National and International Protection,Harvard University Press,1975,at 427。
201 Friedrich-Karl Beier,Exclusive Rights,Statutory Licenses and Compulsory Licenses in Patent and Utility Model Law,IIC 1999 Heft 03,at 260。
202 Jillian Clare Cohen,Canada and Brazil Dealing with Tension between Ensuring Access to Medicines and Complying with Pharmaceutical Patent Standards:Is the Story the Same?",http://www.utoronto.ca/cphs/WORKINGPAPERS/CPHS2003_Jillian_Cohen.pdf 。
203 Bridges:Compromise Averts Compulsory Aids Drug License in Brazil,Bridges,No.6-7,June/July 2005,www.ictsd.org.
204 Jerome H.Reichman,Non-voluntary Licensing of Patented Inventions,UNCTAD-ICTSD Project. www.ictsd.org/pubs/ictsd_series/iprs/CS_reichman_hasenzahl.pdf。
205 Carlos M.Correa,Intellectual Property Rights and the Use of Compulsory Licences:Options for Developing Countries.http://www.southcentre.org/publications/complicence/complicence-06.h tm#P192_29716。
206 Jerome H.Reichman & Catherine Hasenzahl,note160.www.ictsd.org/pubs/ictsd_series/iprs/CS_reichman_hasenzahl.pdf。
207 Jillian Clare Cohen,Comparative Program on Health and Society,June 2004.note 26http://www.utoronto.ca/cphs/WORKINGPAPERS/CPHS2003_Jillian_Cohen.pdf
208[美]罗伯特·考特、托马斯·尤伦:《法和经济学》,张平等译,上海三联书店、上海人民出版社1994年第一版,P185。
209 C.T.Taylor & Z.A.Silberston,The Economic Impact of the Patent System,at 198-99,(1973),转引自Colleen Chien,Cheap Drugs at What Prices to Innovation:Does the Compulsory Licensing of Pharmaceuticals Hurt Innovation? Berkeley Technology Law Journal,Vol.18:1,2003,at 22.
210 F.M.Scherer,The Economic Effects of Compulsory Patent Licensing,
211 Donald G.McFetridge,Intellectual Property,Technology Diffusion,and Growth in the Canadian Economy,in Competition Policy and Intellectual Property Rights in the Knowledge Based Economy 65(Robert D.Anderson & Nancy T.Gallini eds.,1998)
212 Colleen V.Chien,"Cheap Drugs at What Price to Innovation:Does the Compulsory Licensing of Pharmaceuticals Hurt Innovation?".Berkeley Technology Law Journal,Summer 2003,Available at SSRN:http://ssrn.com/abstract=486723
213 Pankaj Tandon,Optimal Patents with Compulsory Licensing,The Journal of Political Economy,Vol.90,No.3(Jun.,1982),pp.470-486
214 C.macleod,Inventing the Industrial Revolution:The English Patent System,1660-1800(Cambridge:Cambridge University Press,1988)at 11-12.
215 C.Macleod,Inventing the Industrial Revolution:The English Patent System,1660-1800(Cambridge:Cambridge University Press,1988)at 11-12.
216 U.Anderfelt,International Patent Legislation and Developing Countries(The Hague:Martinus Nijhoff,1977)
217 Edith Tilton Penrose,The Economics of the International Patent System,The Johns Hopkins Press,1951,at 164。
218 Edith Tilton Penrose,The Economics of the International Patent System,The Johns Hopkins Press,1951,at 21。
219 Foreign Relations of the United States 1872-73(42~(nd)Cong.,3~(rd)sess.),pp.48 ff.转引自Edith Tilton Penrose,The Economics of the International Patent System,at 45。
220 Edith Tilton Penrose,The Economics of the International Patent System,The Johns Hopkins Press,1951,at 46。
221 Amtlicher Bericht ueber den Internationalen Patent-Congress zur Eroeterung der Frage des Patentschutes,"Der Erfinderschutz und die Reform der Patentgesetze"(Dresden:1873)。转引自 Edith Tilton Penrose,The Economics of the International Patent System,at 46。
222 Edith Tilton Penrose,The Economics of the International Patent System,The Johns Hopkins Press,1951,at 47。
223 Edith Tilton Penrose,The Economics of the International Patent System,The Johns Hopkins Press,1951,at 164。
224 Edith Tilton Penrose,The Economics of the International Patent System,The Johns Hopkins Press,1951,at 46。
225 Edith Tilton Penrose,The Economics of the International Patent System,The Johns Hopkins Press,1951,at 15。
226 Edith Tilton Penrose,The Economics of the International Patent System,The Johns Hopkins Press,1951,at 48。
227 Edith Tilton Penrose,The Economics of the International Patent System,The Johns Hopkins Press,1951,at 50-1。
228 Edith Tilton Penrose,The Economics of the International Patent System,The Johns Hopkins Press,1951,at 164-5。
229 Carlos M.Correa,Intellectual Property Rights and the Use of Com[ulsory Licences:Options for Developing Countries。http://www.southcentre.org/publications/complicence/complicence-04.h tm#P80_7870。
230 博登浩森:《保护工业产权巴黎解说》,专利文献出版社,1984,第60页。
231 Edith Tilton Penrose,The Economics of the International Patent System,The Johns Hopkins Press,1951,at 79-84。
232 Patent and Design Act,1907(as amended up to 12~(th)July 1932)
233 Edith Tilton Penrose,The Economics of the International Patent System,The Johns Hopkins Press,1951,at 83。Note 55。
234 Jerome H.Reichman & Catherine Hasenzahl,Non- voluntary Licensing of Patented Inventions(2003)UNCTAD-ICTSD Project on IPRs and Sustainable Development 附录的《巴黎公约》1925年文本。http://www.ictsd.org/pubs/ictsd_series/iprs/CS_reichman_hasenzahl.pd f。
235 博登浩森:《保护工业产权巴黎解说》,专利文献出版社,1984,第63-64页。
236 Stephen P.Ladas,Patents,Trademarks,and Related Rights- National and International Protection,at 519-520(1975).
237 Carlos M.Correa,Intellectual Property Rights and the Use of Com[ulsory Licences:Options for Developing Countries.http://www.southcentre.org/publications/complicence/complicence-04.h tm#P80_7870以及Stephen P.Ladas,Patents,Trademarks,and Related Rights-National and International Protection,at 529-530(1975).
238 Friedrich-Karl Beier,Exclusive Rights,Statutory Licenses and Compulsory Licenses in Patent and Utility Model Law,IIC 1999 Heft 03,at 265,note 44。
239 Patent,Designs and Trade Marks Acts,1883-1888,consolidated.Section 22.
240 Terrell,The Law and Practice Relating to Letters Patent for Inventions(3~(th)edition,by Thomas Terrell),1895,London:Sweet & Maxwell,Limited,Law Publishers,at 182。
241 Patent and Design Act,1907(7 EDW.7,c.29)
242 Terrell,8~(th)edition,by J.R.Jones,1934,at 324。
243 Patent and Design Act,1907(as amended up to 12~(th)July 1932)
244 Patent Act,1949。参见Terrell,9~(th)edition,by K.E.Shelley,1951,at 432。
245 Patent Act,1977。参见Terrell,13~(th)edition,by William Aldous,1982,at 515-6。
246 The Patents and Trade Marks(World Trade Organisation)Regulations 1999。http://www.wipo.int/clea/docs_new/pdf/en/gb/gb117en.pdf。
247 The Patents and Trade Marks(World Trade Organisation)Regulations 1999。http://www.wipo.int/clea/docs_new/pdf/en/gb/gb117en.pdf。
248 Patents Act 1977,s.48(A)(1).http://www.patent.gov.uk/patent/legal/consolidation.pdf.
249 Friedrich-Karl Beier,Exclusive Rights,Statutory Licenses and Compulsory Licenses in Patent and Utility Model Law,IIC 1999 Heft 03,at 261。
250 Carlos M.Correa,Intellectual Property Rights and the Use of Compulsory Licences:Options for Developing Countries.http://www.southcentre.org/publications/complicence/complicence-04.h tm#TopOfPage。
251 Jerome H.Reichman & Catherine Hasenzahl,Non-voluntary Licensing of Patented Inventions(2003)UNCTAD-ICTSD Project on IPRs and Sustainable Development。http://www.ictsd.org/pubs/ictsd_series/iprs/CS_reichman_hasenzahl.pd f。at12。
252 Jerome H.Reichman & Catherine Hasenzahl,Non-voluntary Licensing of Patented Inventions(2003)UNCTAD-ICTSD Project on IPRs and Sustainable Development附录的《巴黎公约》1925年文本。http://www.ictsd.org/pubs/ictsd_series/iprs/CS_reichman_hasenzahl.pd f。At 28。
253 Jerome H.Reichman & Catherine Hasenzahl,Non-voluntary Licensing of Patontod Invontions(2003)UNCTAD-ICTSD Project on IPRs and Sustainable Development附录的《巴黎公约》1925年文本。http://www.ictsd.org/pubs/ictsd_series/iprs/CS_reichman_hasenzahl.pd f。At 27。
254 郑成思:《工业产权国际公约概论》,北京大学出版社,1985年,第26页。
255 MTNGNG/NG 11/W/14,20 OCT 1987,NOV 3,1987,转引自The UNCTAD/ICTSD Project,The Resource Book,第25章,注释916。
256 MTNGNG/NG 11/W/26,JULY 1988,at Ⅲ D 3a(iv),同上,注释917。
257 MTNGNG/NG 11/W/37,JULY 1989,同上,注释918。
258 MTN.TNC/W/35/REV.1,3 Dec,1990.转引自 The UNCTAD/ICTSD Project,The Resource Book,第25章,注释927。
259 The UNCTAD/ICTSD Project,The Resource Book,第25章。
260 The UNCTAD/ICTSD Project,The Resource Book,第25章。
261 Jerome H.Reichman & Catherine Hasenzahl,Non-voluntary Licensing of Patented Inventions(2003)UNCTAD-ICTSD Project on IPRs and Sustainable Development,注释114。
262 许国平:评坎昆会议部长案文草案。http://www.sjp.ac.lk/careers/dec17/twn/www.twnchinese.org.my/wto/cur eent/comments42b-n.html。
263 Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on compulsory licensing of patents relating to the manufacture of pharmaceutical products for export to countries with public health problems,Brussels,29.10.2004,COM(2004)737 final.http://europa.eu/bulletin/en/200512/p103036.htm。
264 Richard Elliott,Generics for the developing world:a comparison of three approaches to implementing the WTO decision,Scrip,24 Nov.2004,http://www.aidslaw.ca/Maincontent/issues/cts/Scrip-article-RElliot-241104.pdf。
265 《多哈工作计划部长宣言》,WT/MIN(05)/DEC,2005年12月22日,(05-6248), http://sms. mofcom. gov. cn/aarticle/ztxx/200601/20060101301456. html.
266 Proposal for a Decision on an Amendment to the TRIPS Agreement. IP/C/41, 6 December 2005, (05-5806), http: //www. wto. org/english/news_e/news05_e/trips_decision_e. doe.
267 Terrell, 8~(th) edition, by J. R. Jones, 1934, at 280, 324.
268 Patent and Design Act, 1907 (as amended up to 12~(th) July 1932), 第24(1) (a)、(e)条
269 Terrell, 16~(th) edition, by Simon Thorley etc, 2006, at 461.
270 Terrell, 9~(th) edition, by K. E. Shelley, 1951, at 283.
271 Terrell, 14~(th) edition, by David Young etc, 1994, at 328. 以及 Terrell, 16~(th) edition, by Simon Thorley etc, 2006, at 463.
272 Patent Act 1977, s. 127, Sched. 1, Para. 4(1).http://www.patent.gov.uk/patent/legal/consolidation. pdf.
273 Terrell, 16~(th) edition, by Simon Thorley etc, 2006, at 463.
274 Patents Act, 1949, s. 10(IC).
275 Patents Act, 1949, s. 41(1)(a), (b), (c).
276 Terrell, 14~(th) edition, by David Young etc, 1994, at 309.
277 William Cornish & David Llewelyn, Intellectual Property: Patents, Copyright, Trade Marks and Allied Rights, 5~(th) Edition, London: Sweet & Maxwell, 2003. at 289, note 53.
278 Harold G. Fox, The Canadian Law and Practice Relating to Letters Patent for Invention, 3~(rd) edition, Vol. II, Toronto: The Carswell Company, Ltd., 1948, at 978.
279 Fred. B. Fetherstonhaugh & Harold G. Fox, The Canadian Law and Practice Relating to Letters Patent for Invention, 2~(rd) edition, Toronto: The Carswell Company, Ltd., 1926, at 561.
280 Office Consolidation of Patent Act, R. S. C. 1952, c 203, as amended by 1953-54 c. 19, 1953-54, c. 40, s. 15, Compliments of Fetherstonhaugh & Co., at 13.
281 1968-69, c. 49, s. 1. 参见 Immanuel Goldsmith, Patents of Invention, The Carswell Company Limited, 1981, at 157。
282 Patent Act, R. S. C. 1970, c. P-4; amended R. S. C. 1970, c. 10 (2~(nd) Supp.), s. 65.
283 Immanuel Goldsmith, Patents of Invention, The Carswell Company Limited, 1981, at 161.
284 Immanuel Goldsmith, Patents of Invention, The Carswell Company Limited, 1981, at 161.
285 David Vaver, Intellectual Property Law, Irwin Law, 1997, at 127.
286 Robert H. Barrigar, Canadian Patent Act Annotated, Canada Law Book Inc., 1989, at 83-4.
287 Peter Meinhardt,Inventions,Patents and Monopoly,2~(nd)edition,1950,at291。
288 Monopolies and Restrictive Practices(Inquiry and Control)Act 1948(11and 12 Geo 6,c 66),参见Michal Albery,and C F Fletcher-cooke,Monopolies and Restrictive Trade Practices,London:Stevens and Sons Limited,1956,at126-7.
289 Terrell,14~(th)edition,by D.Young,et,1994,at 323。另外参见:Manual of Patent Practice Chapter,http://www.patent.gov.uk/patent/reference/mpp/s46_54.pdf。
290 Act of July 13,1832,4 Stat,577。转引自 CHISUMON PATENT,VOLUME 6,CHAPTER 19,19.04[3]Acts of Misuse,2005,at 530.
291 Act of July 4,1836,c 357,5 Stat 117.转引自 CHISUM ON PATENT,2005,19-530。
292 CONTINENTAL PAPER BAG CO.v.EASTERN PAPER BAG CO.,210 US 405,424-30(1908).参见http://www.justia.us/us/210/405/case.html.
293 CHISUM ON PATENT,2005,19-529-34.另参见ABA Section of Antitrust Law,Intellectual Property Misuse:Licensing and Litigation(2000),at37-8.
294 Jay Dratler,Licensing of Intellectual Property,volume 1,3-10.6,Law Journal Press,2005.
295 830 F.2d 606,609(6th Cir.1987).转引自Herbert Hovenkamp,Mark D.Janis and Mark A Lemley,Unilateral Refusals to License,Journal of Competition Law and Economics,in Antitrust,Patents and Copyright,Edward Elgar Publishing Limited,2005,at 16。
296 ABA Section of Antitrust Law,The Federal Antitrust Guidelines for the Licensing of Intellectual Property:Origins and Applications(2~(nd)ed.2002),at 87.
297 323 U.S.386(1945)
298 332 U.S.319(1947)。
299 91 F.Supp.333,at 408-11(S.D.N.Y.1950).
300 410 U.S.52,at 59(1973)。
301 Jay Dratler,Licensing of Intellectual Property,volume 1,3-18,Law Journal Press,2005.
302 36 F.3d 1147,1187(1st Cir.1994).转引自 Jay Dratler,Licensing of Intellectual Property,volume 1,3-18.1,Law Journal Press,2005.
303 125 F.3d 1195(9th Cir.1996)。转引自Jay Dratler,Licensing of Intellectual Property,volume 1,3-20,Law Journal Press,2005
304(In re:Independent Service Organizations Antitrust Litigation),203F.3d 1322,(Fed.Cir.,2000),转引自Jay Dratler,Licensing of Intellectual Property,volume 1,3-20.1,Law Journal Press,2005.另参 见Matthew Woods, Federal Circuit Closes the Door on Antitrust Refusal to Deal Claim April 10, 2000.http://www.rkmc.com/Federal Circuit Closes the Door on Antitrust_Ref usal_to_Deal_Claim. htm.
305 Jay Dratler, Licensing of Intellectual Property, volume 1, 3-20.6, Law Journal Press, 2005.
306 Analysis of Proposed Consent Order to Aid Public Comment, FTC Dock.No. 9288 ( 1999)http://www. ftc. gov/os/1999/03/d09288intelanalysis. htm.
307 Herbert Hovenkamp, Mark D. Janis and Mark A Lemley, Unilateral Refusals to License, Journal of Competition Law and Economics, in Antitrust, Patents and Copyright, Edward Elgar Publishing Limited, 2005, at 45.
308 A Study of the Commission' s Divestiture Process, Prepared by the Staff of the Bureau of Competition of the Federal Trade Commission, William J. Baer, Director, http://www. ftc. gov/os/1999/08/divestiture. pdf.
309 ABA Section of Antitrust Law, The Federal Antitrust Guidelines for the Licensing of Intellectual Property: Origins and Applications (2~(nd) ed. 2002), at 88.
310 Hffmann-La Roche case 85/76 [1979] ECR46. 转引自D. G. Goyder, EC Competition Law, 4~(th) edition,, Oxford University Press, 2003, at 269.
311 Alison Jones & Brenda Sufrin, EC Competition Law, Oxford 2001, at 623.
312 Alison Jones & Brenda Sufrin, EC Competition Law, Oxford 2001, at 626.
313 Case 238/87, AB Volvo v. Erik Veng [1988]ECR 6211, [1989]4 CMLR 122.
314 Case 53/87, CICCRA v. Renault [1988]ECR 6039, [1990]4 CMLR 265.
315 Joined cases C-241/91 P and C-242/91 P. [1995] European Court reports 1995 Page I-00743 Radio Telefis Eireann (RTE) and Independent Television Publications Ltd (ITP) v Commission of the European Communities. 316 Richard Whish, Competition Law, London: Butterworth, 1993, at 648. 以及D. G. Goyder, EC Competition Law, 4~(th) edition,, Oxford University Press, 2003, at 307.
317 John Temple Lang, The Application of the Essential Facility Doctrine to Intellectual Property Rights under European Competition Law, in Antitrust, Patents and Copyright, Edward Elgar Publishing Limited, 2005, at 71c
318 Commission decision in Case COMP/C-3/37. 792, EC Commission v. Microsoft.
319 Francois Leveque,Innovation,Leveraging and Essential Facilities:Interoperability Licensing in the EU Microsoft Case,in Antitrust,Patents and Copyright,Edward Elgar Publishing Limitèd,2005,at106。
320 Francois Leveque,Innovation,Leveraging and Essential Facilities:Interoperability Licensing in the EU Microsoft Case,in Antitrust,Patents and Copyright,Edward Elgar Publishing Limited,2005,at105。
321 Francois Leveque,Innovation,Leveraging and Essential Facilities:Interoperability Licensing in the EU Microsoft Case,in Antitrust,Patents and Copyright,Edward Elgar Publishing Limited,2005,at108-9。
322 Francois Leveque,Innovation,Leveraging and Essential Facilities:Interoperability Licensing in the EU Microsoft Case,in Antitrust,Patents and Copyright,Edward Elgar Publishing Limited,2005,at109,以及124注释38。
323 Jay Dratler,Licensing of Intellectual Property,volume 1,3-20.6,Law Journal Press,2005.
324 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST,volume 2,2005 supp.,Aspen Law & Business.,at 46-23。
325 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST,volume 2,2005 supp.,Aspen Law & Business.,at 46-24。
326 Jerome H.Reichman & Catherine Hasenzahl,Non- voluntary Licensing of Patented Inventions:the Canadian Experience(2003),at 27,http://www.iprsonline.org/unctadictsd/docs/reichman_hasenzahl_Canada .pdf。
327 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST,volume 2,2005 supp.,Aspen Law & Business.,at 46-23,注释12。
328[1992]2 S.C.R.606.Canada Law Reports,Supreme Court.
329 IP Enforcement Guidelines,section4.2.2,第2段,at9,http://strategis.ic.gc.ca/pics/ct/ipege.pdf。
330 IP Enforcement Guidelines,section4.2.2,第3-6段,at9,http://strategis.ic.gc.ca/pics/ct/ipege.pdf。
331 IP Enforcement Guidelines,section4.2.2,第7段,at9,以及Example 8:refusal to license a standard,at 24。http://strategis.ic.gc.ca/pics/ct/ipege.pdf。
332 IP Enforcement Guidelines,Example 8:refusal to license a standard,at 25。http://strategis.ic.gc.ca/pics/ct/ipege.pdf。
333 Correa,Carlos M.(2003),"Can the TRIPS Agreement Foster Technology Transfer to Developing Countries?" Duke.University,manuscript.www.law.duke.edu/TRIPs/webcast.html。in Conference on International Public Goods and Transfer of Technology under a Globalized Intellectual Property Regime, Papers from the Conference on International Public Goods and Transfer of Technology under a Globalized Intellectual Property Regime, held at Duke University School of Law, Durham, North Carolina on 24 - 26 April 2003 , by Keith E. Maskus and Jerome H. Reichman (eds). Cambridge University Press, 2005, at 247.
334 DIRECTIVE 96/9/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 11 March 1996 on the legal protection of databases第7.1 条。 http://europa. eu. int/ISP0/infosoc/legreg/docs/969ec. html.
335 Proposal for a Council Directive on the Legal Protection of Databases, COM (92)24 final, Brussels, 13 May 1992, OJ. 1992 C156/4.
336 DIRECTIVE 96/9/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 11 March 1996 on the legal protection of databases序言第 47 条。 http://europa. eu. int/ISP0/infosoc/legreg/docs/969ec. html
337 UPOV. 1995. General Information. UPOV Publication No. 408(E). UPOV, Geneva, Switzerland.
338 Oliver Mills, Biotechnological inventions: moral restraints and patent law, Ashgate, 2004, at 142.
339 Oliver Mills, Biotechnological inventions: moral restraints and patent law, Ashgate, 2004, at 144.
340 Noel Byrne, Commentary on the Substantive Law of the 1991 UPOV Convention for the Protection of Plant Varieties, London: Centre for Commercial Law Studies, 1991, at 12.
341 Noel Byrne, Commentary on the Substantive Law of the 1991 UPOV Convention for the Protection of Plant Varieties, London: Centre for Commercial Law Studies, 1991, at 10-1.
342 http://www. upov. int/en/publications/conventions/1961/msword/act1961. doc.
343 Noel Byrne, Commentary on the Substantive Law of the 1991 UPOV Convention for the Protection of Plant Varieties, London: Centre for Commercial Law Studies, 1991, at 134.
344 美国法典. Title 7, §2404. Public interest in wide usage,http://www.law.cornell.edu/uscode/html/uscode07/usc_sec_07_00002404----000-. html.
345 Noel Byrne, Commentary on the Substantive Law of the 1991 UPOV Convention for the Protection of Plant Varieties, London: Centre for Commercial Law Studies, 1991, at 69.
346 http://www.wipo. int/clea/docs new/pdf/en/gb/gb075en. pdf.
347 Art. 3, 92(1), Council Regulation (EC) No2100/94, of 27 July 1994, on Community plant variety rights,http://www.wipo.int/clea/docs_new/en/eu/eu01len.html。
348 Art.12,DIRECTIVE 98/44/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 6 July 1998 on the legal protection of biotechnological inventions,http://www.wipo.int/clea/docs_new/en/eu/eu036en.html.
349 Oliver Mills,Biotechnologieal inventions:moral restraints and patent law,Ashgate,2004,at 166。
350 Sidney A.DIAMOND,Commissioner of Patents and Trademarks v.Ananda M.CHAKRABARTY et al.447 U.S.303,Decided June 16,1980.http://caselaw.lp.findlaw.com/seripts/getcase.pl?court=us&vol=447&in vol=303。
351 European Parliament resolution on the patenting of BRCA1 and BRCA2('breast cancer')genes,Dates of document:04/10/2001。http://archive.greenpeace.org/geneng/reports/pat/EPResBreastCancerGe nes.pdf。
352 European Group on Ethics in Science and New Technologies,'Ethical Aspects of Patents involving Human Stem Cells',http://ec.europa.eu/european_group_ethics/docs/avis16_en.pdf。
353 European Group on Ethics in Science and New Technologies,同上。
354 Jeanne Clark et al.,U.S.Patent and Trademark Office,Patent Pools:A Solution to the Problem of Access in Biotechnology Patents? 8-12,2000,参见:http://www.uspto.gov/web/offices/pac/dapp/opla/patentpool.pdf。
355 209 U.S.1(1908),http://caselaw.lp.findlaw.com/cgi-bin/getcase.pl?friend=nytimes&cour t=us&vol=209&invol=1。
356 H.R.Rep.No.2222,S.Rep.No.1108,60~(th)Cong.,2d Sess.4-9(1909),转引自 Barbara A.Ringer & Paul Gitlin,Copyright,Practising Law Institute,revised edition,1965,at 29;同时参见Barbara Ringer,Copyright in the 1980s,Vol.23,Bulletin of the copyright society of the U.S.A.,1976,at 304。
357 Barbara A.Ringer & Paul Gitlin,Copyright,Practising Law Institute,revised edition,1965,at 29-30.
358 Norbay Music,Inc.v.King Record,Inc.,290 F.2d 617(2d Cir.1961),转引自 Barbara A.Ringer & Paul Gitlin,Copyright,Practising Law Institute,revised edition,1965,at 30.
359 Barbara Ringer,Copyright in the 1980s,Vol.23,Bulletin of the copyright society of the U.S.A.,1976,at 304。但是,事实上,关于版权强制许可的建议则是德国在伯尔尼公约1908年修订大会上提出来的。这两者之 间是否存在直接的影响或联系,笔者无法找到文献予以佐证。在1908年第一次修订伯尔尼公约的柏林大会上,德国政府建议:第一,承认音乐作品的作者享有独占的权利,授权将其作品改编(adaptation)到机械装置中,并通过这种装置来公开表演其作品;第二,当音乐作品的作者已经将其作品进行了上述改编时,在支付许可使用费的前提下,应向第三者颁发许可,允许其进行这种改编。参见Stephen P.Ladas,The International Protection of Literary and Artist Property,Volume 1:International Copyright and Inter-American Copyright,New York:The Macmillan Company,1938,at 419.
360 Stephen P.Ladas,同上at 476.
361 Stephen P.Ladas,同上,at 476-7.
362 Stephen P.Ladas,同上,at 477。
363 Stephen P.Ladas,同上,at 486。
364 Sam Ricketson and Jane Ginsburg,International copyright and neighbouring rights:the Berne Convention and beyond,Oxford Univ.Press,2006,at 845.
365 Sam Ricketson and Jane Ginsburg,同上。
366 Sam Ricketson and Jane Ginsburg,同上,at 845-6。
367 Sam Ricketson and Jane Ginsburg,同上,at 846。
368 Sam Ricketson and Jane Ginsburg,同上,at 847。
369 http://www.publicknowledge.org/pdf/hr5553-109.pdf。以及http://www.techlawjournal.com/cong109/bills/house/sira/hr5553ih.pdf。
370 SIRA,第115(e)(5)。
371 SIRA,第115(e)(9)(A)。
372 59 FR 34625-01,1994 WL 316103(F.R.),NOTICES of FEDERAL TRADE COMMISSION,(File No.9410019),The Dow Chemical Company,et al.;Proposed Consent Agreement With Analysis To Aid Public Comment,July 6,1994。
373 1975 WL 173245(F.T.C.),86 F.T.C.364,FEDERAL TRADE COMMISSION (F.T.C.),IN THE MATTER OF XEROX CORPORATION,CONSENT ORDER,ETC.,IN REGARD TO ALLEGED VIOLATION OF THE FEDERAL TRADE COMMISSION ACT,Docket 8909.Complaint,Jan.16,1973;Decision,July 29,1975。
374 Correa,Carlos M.(2003),"Can the TRIPS Agreement Foster Technology Transfer to Developing Countries?" Duke.University,manuscript.www.law.duke.edu/TRIPs/webcast.html。in Conference on International Public Goods and Transfer of Technology under a Globalized Intellectual Property Regime,Papers from the Conference on International Public Goods and Transfer of Technology under a Globalized Intellectual Property Regime,held at Duke University School of Law,Durham,North Carolina on 24 - 26 April 2003,by Keith E.Maskus and Jerome H.Reichman(eds).Cambridge University Press,2005,at 232。
375 UNCTAD-ICTSD(编):《Resource Book on TRIPS and Development》,剑桥大学出版社2005年版,at120。
376 Correa,Carlos M.(2003),"Can the TRIPS Agreement Foster Technology Transfer to Developing Countries?" 同上。
377 《Resource Book on TRIPS and Development》,at121-122。
378 WTO,Doc.WT/MIN(01)/DEC/W/2(14 Nov.2001).
379 《Resource Book on TRIPS and Development》,at127。
380 《Resource Book on TRIPS and Development》,at547。
381 《Resource Book on TRIPS and Development》,at548。
382 《Resource Book on TRIPS and Development》,at543。
383 《Resource Book on TRIPS and Development》,at544。
384 《Resource Book on TRIPS and Development》,at545。
385 《Resource Book on TRIPS and Development》,at546。
386 Correa,Carlos M.(2003),"Can the TRIPS Agreement Foster Technology Transfer to Developing Countries?",at 238。
387 Black's Law Dictionary,6~(th)edition,1990,at 528.
388 《Resource Book on TRIPS and Development》,at575。
389 《Resource Book on TRIPS and Development》,at581。
390 《Resource Book on TRIPS and Development》,at598。
391 Carlos Correa,《专利制度国际化和新技术》,20 Wisconsin International Law Journal 523,2002,at 543。
392 Carlos M.Correa,Intellectual Property Rights and the Use of Compulsory Licences:Options for Developing Coutries。http://www.southcentre.org/publications/complicence/complicence-04.h tm#P80_7870。
393 Jerome H.Reichman & Catherine Hasenzahl,Non- voluntary Licensing of Patented Inventions(2003)UNCTAD-ICTSD Project on IPRs and Sustainable Development附录的《巴黎公约》1925年文本。http://www.ictsd.org/pubs/ictsd_series/iprs/CS_reichman_hasenzahl.pd f。
394 Carlos M.Correa,Intellectual Property Rights and the Use of Compulsory Licences:Options for Developing Coutries。http://www.southcentre.org/publications/complicence/complicence-04.h tm#P80_7870。 以及Stephen P.Ladas,Patents,Trademarks,and Related Rights- National and Intcrnational Protection,at 529-530(1975).
395 博登浩森:《保护工业产权巴黎解说》,专利文献出版社,1984,第63-64页。
396 UNCTAD-ICTSD(编):《Resource Book on TRIPS and Development》,剑桥大学出版社2005年版。http://www.iprsonline.org./unctadictsd/ResourceBookIndex.htm,第463
397 《Resource Book on TRIPS and Development》,第465页。
398 Jayashree Watal,Intellectual Property Rights in the WTO and Developing Countries(2002),at 320-21.转引自 Jerome H.Reichman &Catherine Hasenzahl,Non- voluntary Licensing of Patented Inventions (2003)UNCTAD-ICTSD Project on IPRs and Sustainable Development,注释71。http://www.ictsd.org/pubs/ictsd_series/iprs/CS_reichman_hasenzahl.pd f。
399 MTN.TNC/W/35/REV.1,3 Dec,1990.转引自 The UNCTAD/ICTSD Project,The Resource Book,第465页,注释927。
400 《Resource Book on TRIPS and Development》,以及注释929,第467页。
401 Jayashree Watal,Intellectual property rights in the WTO and developing countries,Kluwer Law Internat.2001,at 318.
402 Carlos M.Correa,Intellectual Property Rights and the Use of Compulsory Licences:Options for Developing Coutries。http://www.southcentre.org/publications/complicence/complicence-06.h tm#P192 29716。以及Attaran,Amir and Champ,Paul,"Patent Rights and Local Working Under the WTO TRIPS Agreement:An Analysis of the U.S.-Brazil Patent Dispute".Yale Journal of International Law,Vol.27,p.365 Available at SSRN:http://ssrn.com/abstract=348660
403 Correa,Carlos M.(2003),"Can the TRIPS Agreement Foster Technology Transfer to Developing Countries?",at 241-3。
404 汤宗舜:《专利法教程》,法律出版社2003年3月第1版,第211页。
405 汤宗舜:《专利法解说》,知识产权出版社2002年8月第2版(1994年8月第1版),第303页。
406 汤宗舜:《专利法教程》,法律出版社2003年3月第1版,第212页。
407 汤宗舜:《专利法解说》,第304页。
408 汤宗舜:《专利法教程》,法律出版社2003年3月第1版,第211页。
409 汤宗舜:回忆专利法的起草,参见刘春田主编:《中国知识产权二十年(1978-1998)》。北京:专利文献出版社,1998年11月,第100页。
410 文希凯:对我国专利立法的回顾与思考,参见刘春田主编:《中国知识产权 二十年(1978-1998)》。北京:专利文献出版社,1998年11月,第115页。
411 宋木文,国家版权局局长,在第七届全国人民代表大会常务委员会第十一次会议上关于《中华人民共和国著作权法(草案)》的说明,1989年12月20日,。
412 宋汝棼,全国人大法律委员会副主任委员,全国人大法律委员会在第七届全国人民代表大会常务委员会第十四次会议上对《中华人民共和国著作权法(草案)》审议结果的报告,1990年6月20日。
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426 汤宗舜:《专利法解说》,知识产权出版社2002年8月第2版(1994年8月第1版),第300页。
427 汤宗舜:《专利法解说》,知识产权出版社2002年8月第2版(1994年8月第1版),第303页。
428 汤宗舜:《专利法解说》,知识产权出版社2002年8月第2版(1994年8月第1版),第第304页。
429 汤宗舜:《专利法解说》,知识产权出版社2002年8月第2版(1994年8月第1版),第第300页。
430 美国律师公会反托拉斯法部、知识产权部和国际法部对中国所拟议的反垄断法的共同建议[参考],参见http:///www.sjsfg.gov.cn/index.php?option=com_content&task=view&id=749&Itemid=311。2006年12月11日搜索。
431 Terrell,3~(th)edition,by W.P.Rylands,1895,at 274-5。
432 Terrell,8~(th)edition,by J.R.Jones,1934,at 355-6。
433 Terrell,8~(th)edition,by J.R.Jones,1934,at 356。
434 Terrell,9~(th)edition,by K.E.Shelley,1951,at 295。
435 Zenith Electronics Corp.v.Exzec,.Inc.,182 F.3d 1340,(Fed.Cir.1999);Hunter Douglas INC.v.Harmonic Design,Inc.,153 F.3d 1318(Fed.Cir.1998);Handgards,Inc.v.Ethicon,Inc.,601 F.2d 986,996(9th Cir.1979).转引自CHISUM ON PATENT,2005,19-677。
436 CHISUM ON PATENT,2005,19-678-679。
437 CHISUM ON PATENT,2005,19-680。
438 Zenith Electronics Corp.v.Exzec,.Inc.,182 F.3d 1340,1354,51USPQ2d 1337(Fed.Cir.1999)。转引自 CHISUM ON PATENT,2005,19-680。
439 《Resource Book on TRIPS and Development》,at598。
440 Carlos Correa,《专利制度国际化和新技术》,20 Wisconsin International Law Journal 523,2002,at 543。
441 刘涛,试论民事诉讼中的被告补偿问题,2003年04月15日,http://www.xkcj.com/file_post/display/read.php?FileID=2444
442 江苏省南京市中级人民法院民事判决书,(2003)宁民三初字第188,http://www.jscourt.gov.cn/cpws/cpws_read.jsp?id=1590;智敏,全国首例知识产权恶意诉讼案审理纪实,《民主与法制》杂志,http://news.sina.com.cn/c/1/2007-03-29/162912646560.shtml。2007年3月29日。
443 To Promote Innovation:The Proper Balance of Competition and Patent Law and.Policy,A Report by the Federal Trade Commission,Oct.2003.at 7-15。
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63 ABA Section of Antitrust Law,Intellectual Property Misuse:Licensing and Litigation(2000)
64 Jay Dratler,Licensing of Intellectual Property,volume 1,5-83-4,Law Journal Press,2005.
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70 Keith E.Maskus,Encouraging International Technology Transfer.UNCTAD-ICTSD project on IPRs,Issue Paper No.7,2004.http://www.iprsonline.org/unctadictsd/projectoutputs.htm#casestudies 。
71 Correa,Carlos M.(2003),"Can the TRIPS Agreement Foster Technology Transfer to Developing Countries?" Duke.University,manuscript.www.law.duke.edu/TRIPs/webcast.html。in Conference on International Public Goods and Transfer of Technology under a Globalized Intellectual Property Regime, Papers from the Conference on International Public Goods and Transfer of Technology under a Globalized Intellectual Property Regime, held at Duke University School of Law, Durham, North Carolina on 24 - 26 April 2003 , by Keith E. Maskus and Jerome H. Reichman (eds). Cambridge University Press, 2005, at 227.
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78 Fred. B. Fetherstonhaugh & Harold G. Fox, The Canadian Law and Practice Relating to Letters Patent for Invention, 2~(rd) edition, Toronto: The Carswell Company, Ltd., 1926; Harold G. Fox, The Canadian Law and Practice Relating to Letters Patent for Invention, 3~(rd) edition, Vol. II, Toronto: The Carswell Company, Ltd., 1948; Immanuel Goldsmith, Patents of Invention, The Carswell Company Limited, 1981; Robert H. Barrigar, Canadian Patent Act Annotated, Canada Law Book Inc., 1989.
79 Edith Tilton Penrose, The Economics of the International Patent System, The Johns Hopkins Press, 1951.
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82 Jerome H. Reichman & Catherine Hasenzahl, Non- voluntary Licensing of Patented Inventions (2003) UNCTAD-ICTSD Project on IPRs and Sustainable Development. http://www. ictsd. org/pubs/ictsd series/iprs/CS_reichman hasenzahl. pdf.
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84 Peter Meinhardt, Inventions, Patents and Monopoly, 2~(nd) edition, 1950, at32-3.
85 Peter Meinhardt, 同前, at32.
86 Terrell, 8~(th) edition, by J. R. Jones, 1934, at 324.
87 Patent and Design Act, 1907 (as amended up to 12~(th) July 1932)
88 Patent and Design Act, 1907 (as amended up to 12~(th) July 1932)
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93 ABA Section of Antitrust Law, Intellectual Property Misuse: Licensing and Litigation (2000), at9.
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96 ABA Section of Antitrust Law, Intellectual Property Misuse: Licensing and Litigation (2000), at 170-2. 另外参见 Jay Dratler, Licensing of Intellectual Property, volume 1, 5-83-4, Law Journal Press, 2005.
97 ABA Section of Antitrust Law, Intellectual Property Misuse: Licensing and Litigation (2000), at 176-7.
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103 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST,volume 1,2006 supp.,Aspen Law & Business.,at 14-27。
104 Patent Act of 1977,§48A(1)(a).
105 Patent Act of 1977,§48A(1)(b).
106 Patent Act of 1977,§48B(1)(d).
107 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST,volume 1,2006 supp.,Aspen Law & Business.,at 13-25。
108 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST,volume 1,2004 supp.,Aspen Law & Business.,at 13-11。
109 Patent Act of 1977,§48A(1)(c).
110 Patent Act of 1977,§48B(1)(e).
111 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST,volume 1,2006 supp.,Aspen Law & Business.,at 22-2。
112 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST,volume 1,2003 supp.Aspen Law & Business.at 23-2。
113 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST volume 1,2003 supp.Aspen Law & Business.at 24-17。
114 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST,volume 1,2003 supp.Aspen Law & Business.at 24-46。
115 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST volume 1,2003 supp.Aspen Law & Business.,at 13-41。
116 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST volume 1,2005 supp.Aspen Law & Business.at 13-40。
117 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST,volume 1,2006 supp.Aspen Law & Business.at 14-27。
118 Frederic M.Scherer,New perspectives on economic growth and technological innovation,Brookings Institution Press,1999,at 7-8。
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123 Thorvaldur Gylfason, Principles of economic growth, Oxford Univ. Press, 1999, at 22。
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136 Thorvaldur Gylfason, Principles of economic growth, Oxford Univ. Press, 1999, at 25.
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167 林毅夫、蔡昉、李周:《中国的奇迹:发展战略与经济改革(增订版)》,上海:三联、人民出版社,1999年第二版,第16页。
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169 Ashish Arora, Andrea Fosfuri and Alfonso Gambardella , Markets for technology: the economics of innovation and corporate strategy, MIT Press, 2001, at 122.
170 Ashish Arora, Andrea Fosfuri and Alfonso Gambardella , Markets for technology: the economics of innovation and corporate strategy, MIT Press, 2001, at 125.
171 Ashish Arora, Andrea Fosfuri and Alfonso Gambardella , Markets for technology: the economics of innovation and corporate strategy, MIT Press, 2001, at 125.
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176 Ashish Arora, Andrea Fosfuri and Alfonso Gambardella , Markets for technology: the economics of innovation and corporate strategy, MIT Press, 2001, at 266.
177 J. H. Reichman, Intellectual Property in International Trade: Opportunities and Risks of a GATT Connection, 22 Vand J Transnat'l L 747, at 761 (1989).http://eprints.law.duke.edu/archive/00000453/01/22 Vand. J. Transnat %271 L. 747 (1989). pdf.
178 Keith E. Maskus, Encouraging International Technology Transfer. UNCTAD-ICTSD project on IPRs , Issue Paper No. 7, 2004.http://www. iprsonline. org/unctadictsd/projectoutputs. htm#casestu dies.
179 Keith E. Maskus, Encouraging International Technology Transfer. 2004. http://www.iprsonline. org/unctadictsd/pro.jectoutputs. htm#casestudies
180 Correa, Carlos M. (2003), "Can the TRIPS Agreement Foster Technology Transfer to Developing Countries?" Duke. University, manuscript.www.law.duke. edu/TRIPs/webcast. html. in Conference on International Public Goods and Transfer of Technology under a Globalized Intellectual Property Regime, Papers from the Conference on International Public Goods and Transfer of Technology under a Globalized Intellectual Property Regime, held at Duke University School of Law, Durham, North Carolina on 24 - 26 April 2003 , by Keith E. Maskus and Jerome H. Reichman (eds).Cambridge University Press, 2005, at 227.
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184 Bronwyn H. Hall, Rose Marie Ham, The Patent Paradox Revisited: Determinants of Patenting in the US Semiconductor Industry, 1980-94, NBER Working Paper No. 7062, Issued in March 1999.
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186 Reichman, Jerome H. (1996) From Free Riders to Fair Followers: Global Competition Under the TRIPS Agreement. New York University Journal of International Law and Politics 29:11-93. http://eprints.law.duke.edu/archive/00000095/01/29 N.Y.U. J. Int%271 L. & Pol. 11 (1996-1997). pdf.Abbott, Frederick M. (1998) "The Enduring Enigma of TRIPS: A Challenge for the World Trading System",. Journal of International Economic Law, 497-521, Volume 1, Number 4, December 1998. http://jiel. oxfordjournals. org/cgi/reprint/1/4/497.
187 Herbert Hovenkamp, Mark D. Janis, Mark A. Lemley: IP AND ANTITRUST, volume 1, 2004 supp., Aspen Law & Business., at 6—21.
188 Herbert Hovenkamp, Mark D. Janis, Mark A. Lemley: IP AND ANTITRUST, volume 1,2004 supp.,Aspen Law & Business.,at 6-2/3。
189 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST,volume 1,2005 supp.,Aspen Law & Business.,at 6-32.4/5。
190 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST,volume 1,2003 supp.,Aspen Law & Business.,at 6-36/7。
191 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST,volume 1,2003 supp.,Aspen Law & Business.,at 6-41。
192 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST,volume 1,2003 supp.,Aspen Law & Business.,at 6-41。
193 D.G.Goyder,EC Competition Law,4~(th edition,,)Oxford University Press,2003,at 138.
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196 BRAZIL Industrial Property Law - Law No.9.279,of May 14,1996,ART.68.
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199 Jake Werksman and Alice Palmer,Local working requirements and the TRIPS Agreement:using patent law as a means of ensuring affordable access to essential medicines-a case study from the US-Brazil dispute,Nov.2001.
200 Stephen P.Ladas,Patents,Trademarks,and Related Rights- National and International Protection,Harvard University Press,1975,at 427。
201 Friedrich-Karl Beier,Exclusive Rights,Statutory Licenses and Compulsory Licenses in Patent and Utility Model Law,IIC 1999 Heft 03,at 260。
202 Jillian Clare Cohen,Canada and Brazil Dealing with Tension between Ensuring Access to Medicines and Complying with Pharmaceutical Patent Standards:Is the Story the Same?",http://www.utoronto.ca/cphs/WORKINGPAPERS/CPHS2003_Jillian_Cohen.pdf 。
203 Bridges:Compromise Averts Compulsory Aids Drug License in Brazil,Bridges,No.6-7,June/July 2005,www.ictsd.org.
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209 C.T.Taylor & Z.A.Silberston,The Economic Impact of the Patent System,at 198-99,(1973),转引自Colleen Chien,Cheap Drugs at What Prices to Innovation:Does the Compulsory Licensing of Pharmaceuticals Hurt Innovation? Berkeley Technology Law Journal,Vol.18:1,2003,at 22.
210 F.M.Scherer,The Economic Effects of Compulsory Patent Licensing,
211 Donald G.McFetridge,Intellectual Property,Technology Diffusion,and Growth in the Canadian Economy,in Competition Policy and Intellectual Property Rights in the Knowledge Based Economy 65(Robert D.Anderson & Nancy T.Gallini eds.,1998)
212 Colleen V.Chien,"Cheap Drugs at What Price to Innovation:Does the Compulsory Licensing of Pharmaceuticals Hurt Innovation?".Berkeley Technology Law Journal,Summer 2003,Available at SSRN:http://ssrn.com/abstract=486723
213 Pankaj Tandon,Optimal Patents with Compulsory Licensing,The Journal of Political Economy,Vol.90,No.3(Jun.,1982),pp.470-486
214 C.macleod,Inventing the Industrial Revolution:The English Patent System,1660-1800(Cambridge:Cambridge University Press,1988)at 11-12.
215 C.Macleod,Inventing the Industrial Revolution:The English Patent System,1660-1800(Cambridge:Cambridge University Press,1988)at 11-12.
216 U.Anderfelt,International Patent Legislation and Developing Countries(The Hague:Martinus Nijhoff,1977)
217 Edith Tilton Penrose,The Economics of the International Patent System,The Johns Hopkins Press,1951,at 164。
218 Edith Tilton Penrose,The Economics of the International Patent System,The Johns Hopkins Press,1951,at 21。
219 Foreign Relations of the United States 1872-73(42~(nd)Cong.,3~(rd)sess.),pp.48 ff.转引自Edith Tilton Penrose,The Economics of the International Patent System,at 45。
220 Edith Tilton Penrose,The Economics of the International Patent System,The Johns Hopkins Press,1951,at 46。
221 Amtlicher Bericht ueber den Internationalen Patent-Congress zur Eroeterung der Frage des Patentschutes,"Der Erfinderschutz und die Reform der Patentgesetze"(Dresden:1873)。转引自 Edith Tilton Penrose,The Economics of the International Patent System,at 46。
222 Edith Tilton Penrose,The Economics of the International Patent System,The Johns Hopkins Press,1951,at 47。
223 Edith Tilton Penrose,The Economics of the International Patent System,The Johns Hopkins Press,1951,at 164。
224 Edith Tilton Penrose,The Economics of the International Patent System,The Johns Hopkins Press,1951,at 46。
225 Edith Tilton Penrose,The Economics of the International Patent System,The Johns Hopkins Press,1951,at 15。
226 Edith Tilton Penrose,The Economics of the International Patent System,The Johns Hopkins Press,1951,at 48。
227 Edith Tilton Penrose,The Economics of the International Patent System,The Johns Hopkins Press,1951,at 50-1。
228 Edith Tilton Penrose,The Economics of the International Patent System,The Johns Hopkins Press,1951,at 164-5。
229 Carlos M.Correa,Intellectual Property Rights and the Use of Com[ulsory Licences:Options for Developing Countries。http://www.southcentre.org/publications/complicence/complicence-04.h tm#P80_7870。
230 博登浩森:《保护工业产权巴黎解说》,专利文献出版社,1984,第60页。
231 Edith Tilton Penrose,The Economics of the International Patent System,The Johns Hopkins Press,1951,at 79-84。
232 Patent and Design Act,1907(as amended up to 12~(th)July 1932)
233 Edith Tilton Penrose,The Economics of the International Patent System,The Johns Hopkins Press,1951,at 83。Note 55。
234 Jerome H.Reichman & Catherine Hasenzahl,Non- voluntary Licensing of Patented Inventions(2003)UNCTAD-ICTSD Project on IPRs and Sustainable Development 附录的《巴黎公约》1925年文本。http://www.ictsd.org/pubs/ictsd_series/iprs/CS_reichman_hasenzahl.pd f。
235 博登浩森:《保护工业产权巴黎解说》,专利文献出版社,1984,第63-64页。
236 Stephen P.Ladas,Patents,Trademarks,and Related Rights- National and International Protection,at 519-520(1975).
237 Carlos M.Correa,Intellectual Property Rights and the Use of Com[ulsory Licences:Options for Developing Countries.http://www.southcentre.org/publications/complicence/complicence-04.h tm#P80_7870以及Stephen P.Ladas,Patents,Trademarks,and Related Rights-National and International Protection,at 529-530(1975).
238 Friedrich-Karl Beier,Exclusive Rights,Statutory Licenses and Compulsory Licenses in Patent and Utility Model Law,IIC 1999 Heft 03,at 265,note 44。
239 Patent,Designs and Trade Marks Acts,1883-1888,consolidated.Section 22.
240 Terrell,The Law and Practice Relating to Letters Patent for Inventions(3~(th)edition,by Thomas Terrell),1895,London:Sweet & Maxwell,Limited,Law Publishers,at 182。
241 Patent and Design Act,1907(7 EDW.7,c.29)
242 Terrell,8~(th)edition,by J.R.Jones,1934,at 324。
243 Patent and Design Act,1907(as amended up to 12~(th)July 1932)
244 Patent Act,1949。参见Terrell,9~(th)edition,by K.E.Shelley,1951,at 432。
245 Patent Act,1977。参见Terrell,13~(th)edition,by William Aldous,1982,at 515-6。
246 The Patents and Trade Marks(World Trade Organisation)Regulations 1999。http://www.wipo.int/clea/docs_new/pdf/en/gb/gb117en.pdf。
247 The Patents and Trade Marks(World Trade Organisation)Regulations 1999。http://www.wipo.int/clea/docs_new/pdf/en/gb/gb117en.pdf。
248 Patents Act 1977,s.48(A)(1).http://www.patent.gov.uk/patent/legal/consolidation.pdf.
249 Friedrich-Karl Beier,Exclusive Rights,Statutory Licenses and Compulsory Licenses in Patent and Utility Model Law,IIC 1999 Heft 03,at 261。
250 Carlos M.Correa,Intellectual Property Rights and the Use of Compulsory Licences:Options for Developing Countries.http://www.southcentre.org/publications/complicence/complicence-04.h tm#TopOfPage。
251 Jerome H.Reichman & Catherine Hasenzahl,Non-voluntary Licensing of Patented Inventions(2003)UNCTAD-ICTSD Project on IPRs and Sustainable Development。http://www.ictsd.org/pubs/ictsd_series/iprs/CS_reichman_hasenzahl.pd f。at12。
252 Jerome H.Reichman & Catherine Hasenzahl,Non-voluntary Licensing of Patented Inventions(2003)UNCTAD-ICTSD Project on IPRs and Sustainable Development附录的《巴黎公约》1925年文本。http://www.ictsd.org/pubs/ictsd_series/iprs/CS_reichman_hasenzahl.pd f。At 28。
253 Jerome H.Reichman & Catherine Hasenzahl,Non-voluntary Licensing of Patontod Invontions(2003)UNCTAD-ICTSD Project on IPRs and Sustainable Development附录的《巴黎公约》1925年文本。http://www.ictsd.org/pubs/ictsd_series/iprs/CS_reichman_hasenzahl.pd f。At 27。
254 郑成思:《工业产权国际公约概论》,北京大学出版社,1985年,第26页。
255 MTNGNG/NG 11/W/14,20 OCT 1987,NOV 3,1987,转引自The UNCTAD/ICTSD Project,The Resource Book,第25章,注释916。
256 MTNGNG/NG 11/W/26,JULY 1988,at Ⅲ D 3a(iv),同上,注释917。
257 MTNGNG/NG 11/W/37,JULY 1989,同上,注释918。
258 MTN.TNC/W/35/REV.1,3 Dec,1990.转引自 The UNCTAD/ICTSD Project,The Resource Book,第25章,注释927。
259 The UNCTAD/ICTSD Project,The Resource Book,第25章。
260 The UNCTAD/ICTSD Project,The Resource Book,第25章。
261 Jerome H.Reichman & Catherine Hasenzahl,Non-voluntary Licensing of Patented Inventions(2003)UNCTAD-ICTSD Project on IPRs and Sustainable Development,注释114。
262 许国平:评坎昆会议部长案文草案。http://www.sjp.ac.lk/careers/dec17/twn/www.twnchinese.org.my/wto/cur eent/comments42b-n.html。
263 Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on compulsory licensing of patents relating to the manufacture of pharmaceutical products for export to countries with public health problems,Brussels,29.10.2004,COM(2004)737 final.http://europa.eu/bulletin/en/200512/p103036.htm。
264 Richard Elliott,Generics for the developing world:a comparison of three approaches to implementing the WTO decision,Scrip,24 Nov.2004,http://www.aidslaw.ca/Maincontent/issues/cts/Scrip-article-RElliot-241104.pdf。
265 《多哈工作计划部长宣言》,WT/MIN(05)/DEC,2005年12月22日,(05-6248), http://sms. mofcom. gov. cn/aarticle/ztxx/200601/20060101301456. html.
266 Proposal for a Decision on an Amendment to the TRIPS Agreement. IP/C/41, 6 December 2005, (05-5806), http: //www. wto. org/english/news_e/news05_e/trips_decision_e. doe.
267 Terrell, 8~(th) edition, by J. R. Jones, 1934, at 280, 324.
268 Patent and Design Act, 1907 (as amended up to 12~(th) July 1932), 第24(1) (a)、(e)条
269 Terrell, 16~(th) edition, by Simon Thorley etc, 2006, at 461.
270 Terrell, 9~(th) edition, by K. E. Shelley, 1951, at 283.
271 Terrell, 14~(th) edition, by David Young etc, 1994, at 328. 以及 Terrell, 16~(th) edition, by Simon Thorley etc, 2006, at 463.
272 Patent Act 1977, s. 127, Sched. 1, Para. 4(1).http://www.patent.gov.uk/patent/legal/consolidation. pdf.
273 Terrell, 16~(th) edition, by Simon Thorley etc, 2006, at 463.
274 Patents Act, 1949, s. 10(IC).
275 Patents Act, 1949, s. 41(1)(a), (b), (c).
276 Terrell, 14~(th) edition, by David Young etc, 1994, at 309.
277 William Cornish & David Llewelyn, Intellectual Property: Patents, Copyright, Trade Marks and Allied Rights, 5~(th) Edition, London: Sweet & Maxwell, 2003. at 289, note 53.
278 Harold G. Fox, The Canadian Law and Practice Relating to Letters Patent for Invention, 3~(rd) edition, Vol. II, Toronto: The Carswell Company, Ltd., 1948, at 978.
279 Fred. B. Fetherstonhaugh & Harold G. Fox, The Canadian Law and Practice Relating to Letters Patent for Invention, 2~(rd) edition, Toronto: The Carswell Company, Ltd., 1926, at 561.
280 Office Consolidation of Patent Act, R. S. C. 1952, c 203, as amended by 1953-54 c. 19, 1953-54, c. 40, s. 15, Compliments of Fetherstonhaugh & Co., at 13.
281 1968-69, c. 49, s. 1. 参见 Immanuel Goldsmith, Patents of Invention, The Carswell Company Limited, 1981, at 157。
282 Patent Act, R. S. C. 1970, c. P-4; amended R. S. C. 1970, c. 10 (2~(nd) Supp.), s. 65.
283 Immanuel Goldsmith, Patents of Invention, The Carswell Company Limited, 1981, at 161.
284 Immanuel Goldsmith, Patents of Invention, The Carswell Company Limited, 1981, at 161.
285 David Vaver, Intellectual Property Law, Irwin Law, 1997, at 127.
286 Robert H. Barrigar, Canadian Patent Act Annotated, Canada Law Book Inc., 1989, at 83-4.
287 Peter Meinhardt,Inventions,Patents and Monopoly,2~(nd)edition,1950,at291。
288 Monopolies and Restrictive Practices(Inquiry and Control)Act 1948(11and 12 Geo 6,c 66),参见Michal Albery,and C F Fletcher-cooke,Monopolies and Restrictive Trade Practices,London:Stevens and Sons Limited,1956,at126-7.
289 Terrell,14~(th)edition,by D.Young,et,1994,at 323。另外参见:Manual of Patent Practice Chapter,http://www.patent.gov.uk/patent/reference/mpp/s46_54.pdf。
290 Act of July 13,1832,4 Stat,577。转引自 CHISUMON PATENT,VOLUME 6,CHAPTER 19,19.04[3]Acts of Misuse,2005,at 530.
291 Act of July 4,1836,c 357,5 Stat 117.转引自 CHISUM ON PATENT,2005,19-530。
292 CONTINENTAL PAPER BAG CO.v.EASTERN PAPER BAG CO.,210 US 405,424-30(1908).参见http://www.justia.us/us/210/405/case.html.
293 CHISUM ON PATENT,2005,19-529-34.另参见ABA Section of Antitrust Law,Intellectual Property Misuse:Licensing and Litigation(2000),at37-8.
294 Jay Dratler,Licensing of Intellectual Property,volume 1,3-10.6,Law Journal Press,2005.
295 830 F.2d 606,609(6th Cir.1987).转引自Herbert Hovenkamp,Mark D.Janis and Mark A Lemley,Unilateral Refusals to License,Journal of Competition Law and Economics,in Antitrust,Patents and Copyright,Edward Elgar Publishing Limited,2005,at 16。
296 ABA Section of Antitrust Law,The Federal Antitrust Guidelines for the Licensing of Intellectual Property:Origins and Applications(2~(nd)ed.2002),at 87.
297 323 U.S.386(1945)
298 332 U.S.319(1947)。
299 91 F.Supp.333,at 408-11(S.D.N.Y.1950).
300 410 U.S.52,at 59(1973)。
301 Jay Dratler,Licensing of Intellectual Property,volume 1,3-18,Law Journal Press,2005.
302 36 F.3d 1147,1187(1st Cir.1994).转引自 Jay Dratler,Licensing of Intellectual Property,volume 1,3-18.1,Law Journal Press,2005.
303 125 F.3d 1195(9th Cir.1996)。转引自Jay Dratler,Licensing of Intellectual Property,volume 1,3-20,Law Journal Press,2005
304(In re:Independent Service Organizations Antitrust Litigation),203F.3d 1322,(Fed.Cir.,2000),转引自Jay Dratler,Licensing of Intellectual Property,volume 1,3-20.1,Law Journal Press,2005.另参 见Matthew Woods, Federal Circuit Closes the Door on Antitrust Refusal to Deal Claim April 10, 2000.http://www.rkmc.com/Federal Circuit Closes the Door on Antitrust_Ref usal_to_Deal_Claim. htm.
305 Jay Dratler, Licensing of Intellectual Property, volume 1, 3-20.6, Law Journal Press, 2005.
306 Analysis of Proposed Consent Order to Aid Public Comment, FTC Dock.No. 9288 ( 1999)http://www. ftc. gov/os/1999/03/d09288intelanalysis. htm.
307 Herbert Hovenkamp, Mark D. Janis and Mark A Lemley, Unilateral Refusals to License, Journal of Competition Law and Economics, in Antitrust, Patents and Copyright, Edward Elgar Publishing Limited, 2005, at 45.
308 A Study of the Commission' s Divestiture Process, Prepared by the Staff of the Bureau of Competition of the Federal Trade Commission, William J. Baer, Director, http://www. ftc. gov/os/1999/08/divestiture. pdf.
309 ABA Section of Antitrust Law, The Federal Antitrust Guidelines for the Licensing of Intellectual Property: Origins and Applications (2~(nd) ed. 2002), at 88.
310 Hffmann-La Roche case 85/76 [1979] ECR46. 转引自D. G. Goyder, EC Competition Law, 4~(th) edition,, Oxford University Press, 2003, at 269.
311 Alison Jones & Brenda Sufrin, EC Competition Law, Oxford 2001, at 623.
312 Alison Jones & Brenda Sufrin, EC Competition Law, Oxford 2001, at 626.
313 Case 238/87, AB Volvo v. Erik Veng [1988]ECR 6211, [1989]4 CMLR 122.
314 Case 53/87, CICCRA v. Renault [1988]ECR 6039, [1990]4 CMLR 265.
315 Joined cases C-241/91 P and C-242/91 P. [1995] European Court reports 1995 Page I-00743 Radio Telefis Eireann (RTE) and Independent Television Publications Ltd (ITP) v Commission of the European Communities. 316 Richard Whish, Competition Law, London: Butterworth, 1993, at 648. 以及D. G. Goyder, EC Competition Law, 4~(th) edition,, Oxford University Press, 2003, at 307.
317 John Temple Lang, The Application of the Essential Facility Doctrine to Intellectual Property Rights under European Competition Law, in Antitrust, Patents and Copyright, Edward Elgar Publishing Limited, 2005, at 71c
318 Commission decision in Case COMP/C-3/37. 792, EC Commission v. Microsoft.
319 Francois Leveque,Innovation,Leveraging and Essential Facilities:Interoperability Licensing in the EU Microsoft Case,in Antitrust,Patents and Copyright,Edward Elgar Publishing Limitèd,2005,at106。
320 Francois Leveque,Innovation,Leveraging and Essential Facilities:Interoperability Licensing in the EU Microsoft Case,in Antitrust,Patents and Copyright,Edward Elgar Publishing Limited,2005,at105。
321 Francois Leveque,Innovation,Leveraging and Essential Facilities:Interoperability Licensing in the EU Microsoft Case,in Antitrust,Patents and Copyright,Edward Elgar Publishing Limited,2005,at108-9。
322 Francois Leveque,Innovation,Leveraging and Essential Facilities:Interoperability Licensing in the EU Microsoft Case,in Antitrust,Patents and Copyright,Edward Elgar Publishing Limited,2005,at109,以及124注释38。
323 Jay Dratler,Licensing of Intellectual Property,volume 1,3-20.6,Law Journal Press,2005.
324 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST,volume 2,2005 supp.,Aspen Law & Business.,at 46-23。
325 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST,volume 2,2005 supp.,Aspen Law & Business.,at 46-24。
326 Jerome H.Reichman & Catherine Hasenzahl,Non- voluntary Licensing of Patented Inventions:the Canadian Experience(2003),at 27,http://www.iprsonline.org/unctadictsd/docs/reichman_hasenzahl_Canada .pdf。
327 Herbert Hovenkamp,Mark D.Janis,Mark A.Lemley:IP AND ANTITRUST,volume 2,2005 supp.,Aspen Law & Business.,at 46-23,注释12。
328[1992]2 S.C.R.606.Canada Law Reports,Supreme Court.
329 IP Enforcement Guidelines,section4.2.2,第2段,at9,http://strategis.ic.gc.ca/pics/ct/ipege.pdf。
330 IP Enforcement Guidelines,section4.2.2,第3-6段,at9,http://strategis.ic.gc.ca/pics/ct/ipege.pdf。
331 IP Enforcement Guidelines,section4.2.2,第7段,at9,以及Example 8:refusal to license a standard,at 24。http://strategis.ic.gc.ca/pics/ct/ipege.pdf。
332 IP Enforcement Guidelines,Example 8:refusal to license a standard,at 25。http://strategis.ic.gc.ca/pics/ct/ipege.pdf。
333 Correa,Carlos M.(2003),"Can the TRIPS Agreement Foster Technology Transfer to Developing Countries?" Duke.University,manuscript.www.law.duke.edu/TRIPs/webcast.html。in Conference on International Public Goods and Transfer of Technology under a Globalized Intellectual Property Regime, Papers from the Conference on International Public Goods and Transfer of Technology under a Globalized Intellectual Property Regime, held at Duke University School of Law, Durham, North Carolina on 24 - 26 April 2003 , by Keith E. Maskus and Jerome H. Reichman (eds). Cambridge University Press, 2005, at 247.
334 DIRECTIVE 96/9/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 11 March 1996 on the legal protection of databases第7.1 条。 http://europa. eu. int/ISP0/infosoc/legreg/docs/969ec. html.
335 Proposal for a Council Directive on the Legal Protection of Databases, COM (92)24 final, Brussels, 13 May 1992, OJ. 1992 C156/4.
336 DIRECTIVE 96/9/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 11 March 1996 on the legal protection of databases序言第 47 条。 http://europa. eu. int/ISP0/infosoc/legreg/docs/969ec. html
337 UPOV. 1995. General Information. UPOV Publication No. 408(E). UPOV, Geneva, Switzerland.
338 Oliver Mills, Biotechnological inventions: moral restraints and patent law, Ashgate, 2004, at 142.
339 Oliver Mills, Biotechnological inventions: moral restraints and patent law, Ashgate, 2004, at 144.
340 Noel Byrne, Commentary on the Substantive Law of the 1991 UPOV Convention for the Protection of Plant Varieties, London: Centre for Commercial Law Studies, 1991, at 12.
341 Noel Byrne, Commentary on the Substantive Law of the 1991 UPOV Convention for the Protection of Plant Varieties, London: Centre for Commercial Law Studies, 1991, at 10-1.
342 http://www. upov. int/en/publications/conventions/1961/msword/act1961. doc.
343 Noel Byrne, Commentary on the Substantive Law of the 1991 UPOV Convention for the Protection of Plant Varieties, London: Centre for Commercial Law Studies, 1991, at 134.
344 美国法典. Title 7, §2404. Public interest in wide usage,http://www.law.cornell.edu/uscode/html/uscode07/usc_sec_07_00002404----000-. html.
345 Noel Byrne, Commentary on the Substantive Law of the 1991 UPOV Convention for the Protection of Plant Varieties, London: Centre for Commercial Law Studies, 1991, at 69.
346 http://www.wipo. int/clea/docs new/pdf/en/gb/gb075en. pdf.
347 Art. 3, 92(1), Council Regulation (EC) No2100/94, of 27 July 1994, on Community plant variety rights,http://www.wipo.int/clea/docs_new/en/eu/eu01len.html。
348 Art.12,DIRECTIVE 98/44/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 6 July 1998 on the legal protection of biotechnological inventions,http://www.wipo.int/clea/docs_new/en/eu/eu036en.html.
349 Oliver Mills,Biotechnologieal inventions:moral restraints and patent law,Ashgate,2004,at 166。
350 Sidney A.DIAMOND,Commissioner of Patents and Trademarks v.Ananda M.CHAKRABARTY et al.447 U.S.303,Decided June 16,1980.http://caselaw.lp.findlaw.com/seripts/getcase.pl?court=us&vol=447&in vol=303。
351 European Parliament resolution on the patenting of BRCA1 and BRCA2('breast cancer')genes,Dates of document:04/10/2001。http://archive.greenpeace.org/geneng/reports/pat/EPResBreastCancerGe nes.pdf。
352 European Group on Ethics in Science and New Technologies,'Ethical Aspects of Patents involving Human Stem Cells',http://ec.europa.eu/european_group_ethics/docs/avis16_en.pdf。
353 European Group on Ethics in Science and New Technologies,同上。
354 Jeanne Clark et al.,U.S.Patent and Trademark Office,Patent Pools:A Solution to the Problem of Access in Biotechnology Patents? 8-12,2000,参见:http://www.uspto.gov/web/offices/pac/dapp/opla/patentpool.pdf。
355 209 U.S.1(1908),http://caselaw.lp.findlaw.com/cgi-bin/getcase.pl?friend=nytimes&cour t=us&vol=209&invol=1。
356 H.R.Rep.No.2222,S.Rep.No.1108,60~(th)Cong.,2d Sess.4-9(1909),转引自 Barbara A.Ringer & Paul Gitlin,Copyright,Practising Law Institute,revised edition,1965,at 29;同时参见Barbara Ringer,Copyright in the 1980s,Vol.23,Bulletin of the copyright society of the U.S.A.,1976,at 304。
357 Barbara A.Ringer & Paul Gitlin,Copyright,Practising Law Institute,revised edition,1965,at 29-30.
358 Norbay Music,Inc.v.King Record,Inc.,290 F.2d 617(2d Cir.1961),转引自 Barbara A.Ringer & Paul Gitlin,Copyright,Practising Law Institute,revised edition,1965,at 30.
359 Barbara Ringer,Copyright in the 1980s,Vol.23,Bulletin of the copyright society of the U.S.A.,1976,at 304。但是,事实上,关于版权强制许可的建议则是德国在伯尔尼公约1908年修订大会上提出来的。这两者之 间是否存在直接的影响或联系,笔者无法找到文献予以佐证。在1908年第一次修订伯尔尼公约的柏林大会上,德国政府建议:第一,承认音乐作品的作者享有独占的权利,授权将其作品改编(adaptation)到机械装置中,并通过这种装置来公开表演其作品;第二,当音乐作品的作者已经将其作品进行了上述改编时,在支付许可使用费的前提下,应向第三者颁发许可,允许其进行这种改编。参见Stephen P.Ladas,The International Protection of Literary and Artist Property,Volume 1:International Copyright and Inter-American Copyright,New York:The Macmillan Company,1938,at 419.
360 Stephen P.Ladas,同上at 476.
361 Stephen P.Ladas,同上,at 476-7.
362 Stephen P.Ladas,同上,at 477。
363 Stephen P.Ladas,同上,at 486。
364 Sam Ricketson and Jane Ginsburg,International copyright and neighbouring rights:the Berne Convention and beyond,Oxford Univ.Press,2006,at 845.
365 Sam Ricketson and Jane Ginsburg,同上。
366 Sam Ricketson and Jane Ginsburg,同上,at 845-6。
367 Sam Ricketson and Jane Ginsburg,同上,at 846。
368 Sam Ricketson and Jane Ginsburg,同上,at 847。
369 http://www.publicknowledge.org/pdf/hr5553-109.pdf。以及http://www.techlawjournal.com/cong109/bills/house/sira/hr5553ih.pdf。
370 SIRA,第115(e)(5)。
371 SIRA,第115(e)(9)(A)。
372 59 FR 34625-01,1994 WL 316103(F.R.),NOTICES of FEDERAL TRADE COMMISSION,(File No.9410019),The Dow Chemical Company,et al.;Proposed Consent Agreement With Analysis To Aid Public Comment,July 6,1994。
373 1975 WL 173245(F.T.C.),86 F.T.C.364,FEDERAL TRADE COMMISSION (F.T.C.),IN THE MATTER OF XEROX CORPORATION,CONSENT ORDER,ETC.,IN REGARD TO ALLEGED VIOLATION OF THE FEDERAL TRADE COMMISSION ACT,Docket 8909.Complaint,Jan.16,1973;Decision,July 29,1975。
374 Correa,Carlos M.(2003),"Can the TRIPS Agreement Foster Technology Transfer to Developing Countries?" Duke.University,manuscript.www.law.duke.edu/TRIPs/webcast.html。in Conference on International Public Goods and Transfer of Technology under a Globalized Intellectual Property Regime,Papers from the Conference on International Public Goods and Transfer of Technology under a Globalized Intellectual Property Regime,held at Duke University School of Law,Durham,North Carolina on 24 - 26 April 2003,by Keith E.Maskus and Jerome H.Reichman(eds).Cambridge University Press,2005,at 232。
375 UNCTAD-ICTSD(编):《Resource Book on TRIPS and Development》,剑桥大学出版社2005年版,at120。
376 Correa,Carlos M.(2003),"Can the TRIPS Agreement Foster Technology Transfer to Developing Countries?" 同上。
377 《Resource Book on TRIPS and Development》,at121-122。
378 WTO,Doc.WT/MIN(01)/DEC/W/2(14 Nov.2001).
379 《Resource Book on TRIPS and Development》,at127。
380 《Resource Book on TRIPS and Development》,at547。
381 《Resource Book on TRIPS and Development》,at548。
382 《Resource Book on TRIPS and Development》,at543。
383 《Resource Book on TRIPS and Development》,at544。
384 《Resource Book on TRIPS and Development》,at545。
385 《Resource Book on TRIPS and Development》,at546。
386 Correa,Carlos M.(2003),"Can the TRIPS Agreement Foster Technology Transfer to Developing Countries?",at 238。
387 Black's Law Dictionary,6~(th)edition,1990,at 528.
388 《Resource Book on TRIPS and Development》,at575。
389 《Resource Book on TRIPS and Development》,at581。
390 《Resource Book on TRIPS and Development》,at598。
391 Carlos Correa,《专利制度国际化和新技术》,20 Wisconsin International Law Journal 523,2002,at 543。
392 Carlos M.Correa,Intellectual Property Rights and the Use of Compulsory Licences:Options for Developing Coutries。http://www.southcentre.org/publications/complicence/complicence-04.h tm#P80_7870。
393 Jerome H.Reichman & Catherine Hasenzahl,Non- voluntary Licensing of Patented Inventions(2003)UNCTAD-ICTSD Project on IPRs and Sustainable Development附录的《巴黎公约》1925年文本。http://www.ictsd.org/pubs/ictsd_series/iprs/CS_reichman_hasenzahl.pd f。
394 Carlos M.Correa,Intellectual Property Rights and the Use of Compulsory Licences:Options for Developing Coutries。http://www.southcentre.org/publications/complicence/complicence-04.h tm#P80_7870。 以及Stephen P.Ladas,Patents,Trademarks,and Related Rights- National and Intcrnational Protection,at 529-530(1975).
395 博登浩森:《保护工业产权巴黎解说》,专利文献出版社,1984,第63-64页。
396 UNCTAD-ICTSD(编):《Resource Book on TRIPS and Development》,剑桥大学出版社2005年版。http://www.iprsonline.org./unctadictsd/ResourceBookIndex.htm,第463
397 《Resource Book on TRIPS and Development》,第465页。
398 Jayashree Watal,Intellectual Property Rights in the WTO and Developing Countries(2002),at 320-21.转引自 Jerome H.Reichman &Catherine Hasenzahl,Non- voluntary Licensing of Patented Inventions (2003)UNCTAD-ICTSD Project on IPRs and Sustainable Development,注释71。http://www.ictsd.org/pubs/ictsd_series/iprs/CS_reichman_hasenzahl.pd f。
399 MTN.TNC/W/35/REV.1,3 Dec,1990.转引自 The UNCTAD/ICTSD Project,The Resource Book,第465页,注释927。
400 《Resource Book on TRIPS and Development》,以及注释929,第467页。
401 Jayashree Watal,Intellectual property rights in the WTO and developing countries,Kluwer Law Internat.2001,at 318.
402 Carlos M.Correa,Intellectual Property Rights and the Use of Compulsory Licences:Options for Developing Coutries。http://www.southcentre.org/publications/complicence/complicence-06.h tm#P192 29716。以及Attaran,Amir and Champ,Paul,"Patent Rights and Local Working Under the WTO TRIPS Agreement:An Analysis of the U.S.-Brazil Patent Dispute".Yale Journal of International Law,Vol.27,p.365 Available at SSRN:http://ssrn.com/abstract=348660
403 Correa,Carlos M.(2003),"Can the TRIPS Agreement Foster Technology Transfer to Developing Countries?",at 241-3。
404 汤宗舜:《专利法教程》,法律出版社2003年3月第1版,第211页。
405 汤宗舜:《专利法解说》,知识产权出版社2002年8月第2版(1994年8月第1版),第303页。
406 汤宗舜:《专利法教程》,法律出版社2003年3月第1版,第212页。
407 汤宗舜:《专利法解说》,第304页。
408 汤宗舜:《专利法教程》,法律出版社2003年3月第1版,第211页。
409 汤宗舜:回忆专利法的起草,参见刘春田主编:《中国知识产权二十年(1978-1998)》。北京:专利文献出版社,1998年11月,第100页。
410 文希凯:对我国专利立法的回顾与思考,参见刘春田主编:《中国知识产权 二十年(1978-1998)》。北京:专利文献出版社,1998年11月,第115页。
411 宋木文,国家版权局局长,在第七届全国人民代表大会常务委员会第十一次会议上关于《中华人民共和国著作权法(草案)》的说明,1989年12月20日,。
412 宋汝棼,全国人大法律委员会副主任委员,全国人大法律委员会在第七届全国人民代表大会常务委员会第十四次会议上对《中华人民共和国著作权法(草案)》审议结果的报告,1990年6月20日。
413 机电部综合计划司:《利用外资引进技术进出口设备文件汇编》(1979-1988),机械工业出版社1989年1月第一版,P244。
414 中国国际法学会:《国际法资料》第6辑,法律出版社1990年10月第一版。
415 郑成思:《知识产权法》,法律出版社1997年7月第一版,P490。
416 张伟君:《我国技术进口法律制度的新变化》,《世界贸易组织动态与研究》2002年第4期。
417 2004年11月30日最高人民法院审判委员会第1335次会议通过,法释[2004]20号。
418 美国律师公会反托拉斯法部、知识产权部和国际法部对中国所拟议的反垄断法的共同建议[参考],参见http://www.sjsfg.gov.cn/index.php?option=com_content&task=viewtid=749&Itemid=311。2006年12月11日搜索。
419 北京市高级人民法院关于《专利侵权判定若干问题的意见(试行)》的通知,京高法发[2001]229号。http://law.chinalawinfo.com/Newlaw2002/SLC/slc.asp?db=lar&gid=16807873。
420 张伟君:《强制许可,我们准备好了吗?》,中国知识产权报2005年11月24日,http://www.sipo.gov.dn/sipo/xwdt/jdlt/200511/t20051124_76523.htm。
421 《高贵的鸡尾酒与中国100万艾滋病患者生命之争》。http://www.zyynb.com/index.asp。
422 http://www.ebnchina.com/art-8800016633-22213.htm.
423 国家知识产权局条法司:《新专利法祥解》,知识产权出版社2001年8月第1版,第285-6
424 国家知识产权局条法司:《新专利法祥解》,知识产权出版社2001年8月第1版,第288-9。
425 吴汉东、胡开忠等:《知识产权基本问题研究》,中国人民大学出版社2005年3月第1版,第458-60页
426 汤宗舜:《专利法解说》,知识产权出版社2002年8月第2版(1994年8月第1版),第300页。
427 汤宗舜:《专利法解说》,知识产权出版社2002年8月第2版(1994年8月第1版),第303页。
428 汤宗舜:《专利法解说》,知识产权出版社2002年8月第2版(1994年8月第1版),第第304页。
429 汤宗舜:《专利法解说》,知识产权出版社2002年8月第2版(1994年8月第1版),第第300页。
430 美国律师公会反托拉斯法部、知识产权部和国际法部对中国所拟议的反垄断法的共同建议[参考],参见http:///www.sjsfg.gov.cn/index.php?option=com_content&task=view&id=749&Itemid=311。2006年12月11日搜索。
431 Terrell,3~(th)edition,by W.P.Rylands,1895,at 274-5。
432 Terrell,8~(th)edition,by J.R.Jones,1934,at 355-6。
433 Terrell,8~(th)edition,by J.R.Jones,1934,at 356。
434 Terrell,9~(th)edition,by K.E.Shelley,1951,at 295。
435 Zenith Electronics Corp.v.Exzec,.Inc.,182 F.3d 1340,(Fed.Cir.1999);Hunter Douglas INC.v.Harmonic Design,Inc.,153 F.3d 1318(Fed.Cir.1998);Handgards,Inc.v.Ethicon,Inc.,601 F.2d 986,996(9th Cir.1979).转引自CHISUM ON PATENT,2005,19-677。
436 CHISUM ON PATENT,2005,19-678-679。
437 CHISUM ON PATENT,2005,19-680。
438 Zenith Electronics Corp.v.Exzec,.Inc.,182 F.3d 1340,1354,51USPQ2d 1337(Fed.Cir.1999)。转引自 CHISUM ON PATENT,2005,19-680。
439 《Resource Book on TRIPS and Development》,at598。
440 Carlos Correa,《专利制度国际化和新技术》,20 Wisconsin International Law Journal 523,2002,at 543。
441 刘涛,试论民事诉讼中的被告补偿问题,2003年04月15日,http://www.xkcj.com/file_post/display/read.php?FileID=2444
442 江苏省南京市中级人民法院民事判决书,(2003)宁民三初字第188,http://www.jscourt.gov.cn/cpws/cpws_read.jsp?id=1590;智敏,全国首例知识产权恶意诉讼案审理纪实,《民主与法制》杂志,http://news.sina.com.cn/c/1/2007-03-29/162912646560.shtml。2007年3月29日。
443 To Promote Innovation:The Proper Balance of Competition and Patent Law and.Policy,A Report by the Federal Trade Commission,Oct.2003.at 7-15。