【作者】 刘琳；

【导师】 刘惠荣；

【作者基本信息】 中国海洋大学 ， 国际法学， 2005， 硕士

【摘要】 平行进口(Parallel Imports)作为知识产权保护与贸易自由化冲突的表现,是现代知识产权和国际贸易领域理论和实务方面的一个重大问题。1999年11月的上海利华公司诉广州经济技术开发区商业进出口贸易公司商标侵权纠纷的“力士香皂商标案”,把对平行进口理论和实践方面的研究提上了我国的议事日程。而且随着我国经济的发展,国际经济一体化的不断加强,尤其是我国加入WTO以后,关税的降低,各种贸易壁垒的消除都在一定程度上刺激着平行进口的增长。因此平行进口案件以后将在我国外贸领域不断发生,并且涉案数额也会越来越大。实际上,平行进口是货物之有形贸易与知识产权之无形贸易交织在一起而形成的知识产权贸易与货物贸易之间的法律依据、形式、内容、性质以及法律后果的冲突。一方面,它遵循了自由贸易的政策,能使公众得到一定的实惠;另一方面它又侵犯了知识产权人的利益,也会给公众带来一定的不利后果。因此各国对这个问题的法律规制都非常谨慎,如何协调这两方面的冲突就成为解决这个问题的核心。本文中笔者通过对平行进口概念的分析、其产生的经济根源的揭示,提出了我国对平行进口应采取的对策,力求在借鉴世界先进国家成功经验的基础上,为我国知识产权保护和贸易自由化找到一个契合点,以期对我国在这方面的进一步研究和政策制定有所裨益。 一、“平行进口”概念的诠释是解决平行进口问题的前提 要解决平行进口问题就首先要明确什么是平行进口。理论界对于平行进口的涵义存在很多不同的观点,但鲜有能比较全面地表述其涵义的。论文首先总结了各种对平行进口概念的定义,通过比较研究,揭示出每种含义的优点和不足、内涵和外延,并对界定平行进口需要思考的两个问题即如何理解各种定义中的“进口商未经许可”和两国知识产权是否同属于一人问题进行了论述,从而引出平行进口的两个特征:平行进口的货物必须是“真品”;平行进口必须为知识产权在进口国和出口国同时受到法律保护。掌握了这两个特征就从根本上掌握了平行进口的含义。进而界定了本文的研究范围:本文主要关注的是未经过知识产权人(包括被授权人)许更多还原

【Abstract】 The parallel imports as the conflicts of intellectual property right protection and trade liberalism, is an important problem of modern intellectual property right and international trade realm on theories and practices. "The LUX soap trademark case" between the UNILEVER company of Shanghai and business import and export company in the economic technique development area of Guangzhou in 1999, bring the research of theories and practices of the parallel imports in our country into fulfillment. And along with economic development in our country, the international economic integral trend of enhance continuously, particularly with affiliation to WTO hereafter, the reducing of tariff , the elimination of every kind of trade barrier all stimulate the increase of parallel imports on the certain degree. Therefor the parallel imports will take place in our country in the realm of outside trade continuously, and the involved quantity also would be more and more large. On the one hand, it followed the policy of the free trade, can make the public get the certain real benefit; On the other hand, it infringes upon intelligent property right the person’s benefits again, also will bring the public the certainly disadvantageous result. For this reason all countries is all very careful to the law rules system of this problem. How to moderate the clash of this both sides then become the core that resolve this problem. By analyzing the concept of parallel import, economic source announces to public, This thesis puts forward the countermeasure of our country .A, Explaining the concept of parallel imports is the premise to resolve the problem.If you want to solve the parallel import, you must be clear and definitefirst what is a parallel import. There are many points of view in theories field, but few of them can express its connotation completely. The thesis sums up the every definition of the concept first. Through comparison study, it opens up the advantage and shortage of each meaning. And it dissertates the two problems that how to comprehend every kind of definition of "the importer does not get the permission" and whether intelligent property rights belong to the same person. Then we get the two characteristics of parallel import: Goods of parallel import must be the " true article"; Intellectual property; rights must be protected by law at the same time in the import country and the export country. With these two characteristics, we can control the meaning that parallel import by the root. Then the writer defines the textual range of research: This text pays attention to primarily of the parallel imports that is not yet permitted by the intellectual property righter the person, intelligent property rights in two countries belongs to the same the one person’ s, namely the parallel imports on the narrow sense.Two, announcing the economic source of the parallel imports is the key to resolve the problem.Why is the parallel import worth striving for? Investigating reason among them, the most important’ is the difference in price existing in the different regions. So, production cost of goods at export country, plus freight, tariff, insurance... etc. still smaller than its sale in the import country. Like this parallel importer can acquire the big profits. How does the price difference produce? On one hand there are the reasons of theories of "comparison advantage", that is, the difference of factors in land, labor force, resources... etc. in different regions changes into the price difference of same merchandise; On the other hand, the intelligent property right operating exercises in different regions, the economy of the authorization user paying, price bias, rate changing, supply relation anddifferential reasons in quantity also are the reasons. This thesis emphasizes on the later reason, then announces economic source on the deep level of structure of the parallel import. With this, we can work well for the law rules system of parallel imports.Three, the attitude and the law that international communities adopt to the parallel imports draw lessons for our country with the experience.For understanding deeply the reason that other countries adopt different attitude to the parallel imports, we must introduce first the two theories foundation that they adopt different attitudes to the parallel imports:Admission parallel ---- principles of rights exhaustion and limitationparallel imports---- principles of territoriality. At the same time, thewriter expatiate two mistakes of the theories field to the parallel imports, that is, namely the writer thinks that negotiation according to the Trips Article 28 gives the patent right to limit the parallel imports, is incorrect; The space characteristic can’t resolve the parallel imports. And, according to all countries fulfillment, tally up the other theory foundation that all countries treat the parallel imports: (a) contract theories; (b) the contract guarantee theories in the international goods business; (c) the permission theories of the right shows; (d) economic competition law theories. Thus it provides theories cushion for concrete introduction in three aspects in patent, copyright, trademark in all countries’ law rules.Four, the attitude consideration that our country should adapt to the parallel imports.For treating parallel imports correctly, firstly we should proceed value analysis in our country’ current state to the parallel imports to make sure the right mindset. This chapter first expatiates this problem from below three:(a) analyzes parallel imports on the angle of economic analysis; (b) analyzes parallel imports on the angle of the law philosophic; (c) explains parallel imports on the angle of the international trade. As for the lawrules system in present stage to parallel imports, we can see from the research before, all countries have no a general lawmaking. The writer thinks, although our country has no uniform law rules, this is a best provision. Just like the other nations, according to environmental variety of international trade in our country, we can adapt a vivid attitude to protect the largest benefits of our country’. And there are many different theory foundations to parallel import. They are not isolated but contact mutually. We can put together with them, developing the advantage of every kind of theoretical well, coming for our country’s interest on every little point.更多还原