【作者】 王玮；

【导师】 焦洪涛；

【作者基本信息】 华中科技大学 ， 法律， 2012， 硕士

【摘要】 在技术内容日益复杂的今天，技术标准有降低社会交易成本，提高产业服务质量的显著优势。纳入了专利的技术标准在实施过程中，需要获得专利权人的许可，缴纳专利许可费，一项技术标准中专利数量的多少、质量的高低，直接决定了该技术标准实施的成本和效果。因此必要专利的认定在技术标准的制定过程中是非常重要的一环。那么什么是必要专利?必要专利的构成要件有哪些?如何确定某项专利是技术标准所需的必要专利?本文以标准化活动为视角，以企业联盟形成的事实标准为基点，以技术标准中的必要专利为研究对象。通过对技术标准和必要专利的概念、内涵等理论研究的基础上，分析技术标准与必要专利之间的关系，重点研究了必要专利主动认定制度和必要专利被动认定制度。本文主要研究内容有：第一章主要介绍了技术标准的概念、技术标准与专利结合的必然性；以及各大国际标准组织和我国标准化组织对必要专利权利要求和必要专利两个概念的定义以及理论分析。第二章分析了必要专利的三个构成要件，包括：必要专利在技术上的必不可少性、不可替代性、必要专利之间的互补性以及必要专利在法律上的必然被侵权性。第三章是技术标准中必要专利的主动认定问题。必要专利的主动认定产生于技术标准的制定阶段，是研究技术标准中必要专利的首要问题。首先，分析了必要专利主动认定的必要性；其次，建立合理的必要专利主动认定机制是必要专利评估的核心问题，研究了如何制定一套透明的、能被产业界普遍接受并认可的认定流程；最后，对必要专利主动认定过程中出现的法律问题进行了研究分析，如故意不履行专利信息披露义务，拒绝加入技术标准以及联合抵制必要专利的流入流出。第四章本文的重点，即在技术标准必要专利的认定中引入司法审查制度，本文将其称为必要专利的被动认定。从我国诉讼法的角度对技术标准中某一项专利的必要性能否提出独立的诉讼请求，以及提出什么样的诉讼请求做了详细的法理分析。最后第五章在前面研究成果的基础上，对完善我国必要专利认定规制提出自己的思考与建议。更多还原

【Abstract】 With modern techniques becoming more complex, technical standard has significantadvantages that standard reduces the social transaction costs and improves the quality ofindustry services. In the process of implementing patent technology standard,manufacturers need to obtain the permission of the patentee and pay patent licensingfees. The quantity and quality of patent in technical standard directly determines the costand effectiveness of the implementation of technical standards. Therefore, theidentification of essential patents in the process of setting technical standards is veryimportant.What is essential patent? What are the elements of the essential patent? How to makesure that a patent is necessary for a technical standard? Based on the perspectives ofstandardization activities and fact standard formed by enterprise alliances, the essentialpatent of technical standards is chosen as the research object in this paper. On the basis oftheoretical study of the concept of technical standard and essential patent, this paperanalyzes the relationship between technical standards and essential patents and focuses onthe active and passive identification systems of essential patent. The main contents of thisarticle include:Chapter I presents the domestic and international literature review of the technicalstandard.Chapter II introduces the concept of technical standards, the inevitability of thecombination of technical standard and patent; and the theoretical analysis defined bydomestic and international standardization organization.Based on the concept of essential patent defined in the second chapter, ChapterIII illustrates the three elements of the essential patent, including: technically necessarily,technically irreplaceable, and the inevitable infringement in legal.The problems of the active identification system of the essential patent, which isproduced in the formulation stage of technical standard, is the most important issue in theresearch of essential patent. First of all, Chapter IV analyze the necessity of the active identification; Second, the reasonable mechanism is key to the active identification, thispaper research how to develop a transparent identification process to be generally acceptedand recognized by the industry; Finally, this paper presents the legal questions arising inthe process, such as intentionally fails to perform the patent disclosure obligations,refusing to join technical standard and a boycott of necessary patent inflow and outflow.Chapter V of this paper introduce judicial review into the identification systems ofessential patent, which is referred as the passive determination of the essential patent inthis paper and analyze what kind of independent claim which a patent is essential to atechnical standard can be recommend in procedural law.On the basis of previous research, the last Chapter put forward my thinking andsuggestions in how to improve our identification system of the essential patent.更多还原