【作者】 王国柱；

【导师】 李建华；

【作者基本信息】 吉林大学 ， 民商法学， 2013， 博士

【摘要】 知识产权默示许可是指知识产权权利人（许可人）虽然没有以书面或者口头的方式明确做出许可的意思表示，但其行为或者特定情形下的沉默足以使相对人（被许可人）认为权利人（许可人）已经进行了许可，从而成立的知识产权许可形态。知识产权默示许可制度发端于英国，在英美法系国家和大陆法系国家都得到了发展。知识产权默示许可制度在我国知识产权立法和司法实践中也逐渐被接受，并开始发挥其功能。意思表示理论、信赖保护理论和利益平衡理论可以为知识产权默示许可制度提供理论支撑并证明其正当性。知识产权默示许可可以从权利人（许可人）的特定行为进行推断，或者从特定情形下权利人（许可人）的沉默加以推断；信赖保护理论以保护相对人（被许可人）的合理信赖为目的，在知识产权默示许可的判定中发挥着不可或缺的作用，相对人（被许可人）的合理信赖是知识产权默示许可成立的必备要素；利益平衡理论以平衡知识产权权利人（许可人）和相对人（被许可人）的利益为宗旨。从制度属性上看，知识产权默示许可制度属于特殊的授权许可制度、权利限制制度和侵权抗辩制度。知识产权默示许可制度包括专利权默示许可制度、著作权默示许可制度和商标权默示许可制度，默示许可的认定是其中最为核心、最为复杂的问题。知识产权默示许可的认定可以从基于行为推断的知识产权默示许可和基于沉默的知识产权默示许可两个方面入手。基于行为推断的知识产权默示许可的认定主要考察知识产权权利人（许可人）的特定行为、被控侵权人的合理信赖等因素；基于沉默的知识产权默示许可的认定主要考察知识产权权利人（许可人）的“明知”、被控侵权人的合理信赖、知识产权权利人（许可人）怠于行使权利的期间等因素。知识产权默示许可的功能不仅体现在制度自身的运作之中，在默示许可与权利穷竭的交错发展中、在将默示许可运用于解决平行进口问题的实践中，知识产权默示许可的功能得到了拓展。此外，从权利穷竭到平行进口，知识产权默示许可的功能也实现了从合同解释到政策选择的拓展。在默示许可与权利穷竭的关联之中，默示许可主要发挥了合同解释的功能。将默示许可应用于解决平行进口问题，可以通过默示许可对知识产权国际穷竭原则进行修正，使平行进口政策更为灵活，更符合我国现实国情的要求，有利于更好地实现我国的国家利益。知识产权默示许可起源于知识产权许可合同，但该制度具备超越合同关系的特质，不再局限于“一对一”的授权许可模式，使其能够适应网络著作权海量授权的要求。虽然知识产权默示许可可以超越合同关系而存在，但其仍然依赖着合同解释的立场和原则，在对网络著作权默示许可进行认定的时候仍然要考察权利人（许可人）的行为、相对人（被许可人）的合理信赖、诚实信用原则、行业惯例等因素。通过网络著作权默示许可制度与法定许可制度、合理使用制度的比较，可以发掘网络著作权默示许可制度不可替代的制度价值。法定许可制度对著作权人权利的限制较为严格，欠缺灵活性，扩大法定许可制度的适用范围可能与国际公约相冲突，在网络著作权领域的应用价值日益消减。相比之下，默示许可制度更适应网络环境下利益平衡的要求，并且可以减少对现有制度的冲击，其适用价值逐渐增长。在传统著作权领域发挥重要作用的合理使用制度，在网络环境下遭遇了困境，在很多情况下难以担当侵权抗辩的使命。默示许可制度与合理使用制度相比更加适应网络环境的要求，具备明显的制度优势，能够有效弥补合理使用制度的不足。著作权默示许可制度与合理使用制度可以形成分工协作的格局，更好地实现网络著作权领域的利益平衡。在迅速发展的互联网产业之中，默示许可制度已经作为特定行业的惯例被普遍接受。应当在网络共享空间领域和网络搜索引擎领域全面引入默示许可制度，在公益性数字图书馆领域引入默示许可制度。在设计网络著作权默示许可制度时，应充分保障著作权人的获酬权，并通过完善著作权集体管理制度来保障默示许可制度的运行。我国在建构和完善知识产权默示许可制度时，应当以国家利益和国家安全为出发点，并顺应知识产权国际化的趋势，符合科技、文化发展方向的要求，重视产业和行业的自生秩序和惯例，充分借鉴国际上的成熟经验和做法，建立符合我国国情的知识产权默示许可制度。应该在我国未来民法典总则中规定默示意思表示条款和信赖保护条款。应当在《专利法》中对专利权默示许可进行一般性规定，明确规定专利权默示许可制度；应当在《著作权法》中对著作权默示许可制度做出一般性的规定，并对网络著作权默示许可制度进行具体规定；应当在《商标法》中对商标权默示许可制度做出一般性规定。更多还原

【Abstract】 Implied license of intellectual property refers to the intellectual property licensingthat although there is no clear written or oral meaning made by the holder ofintellectual property (the licensor), whose act or silence under specific circumstances issufficient for the opposite party (the licensee) to believe that a license has been madeby the holder of intellectual property (the licensor). Implied license of intellectualproperty system originated in the United Kingdom, has been developed both incommon law countries and civil law countries. Implied license system of intellectualproperty has been accepted gradually by China’s intellectual property legislation andjudicial practice, and has been beginning to play it’s role.The meaning representation theory, the trust protection theory and the theory ofthe balance of interests can provide theoretical support to implied license system ofintellectual property and prove its legitimacy. The implied license of intellectualproperty can be inferred from the specific behavior of rights holder (the licensor), or tobe inferred from the silence of rights holder (the licensor) under certain circumstances;Trust protection theory is for the purpose of protecting the reasonable reliance of theopposite party (the licensee),and plays an integral role in the determination of theimplied license intellectual property,also is an essential element of the establishment ofimplied license of intellectual property;The theory of the balance of interests is for thepurpose to balance the interests between rights holder (the licensor) and the oppositeparty (the licensee). From the view of essence, the implied license system ofintellectual property is a special system of licensing, a system of limitation of rightsand a system of infringement defense.Implied license system of intellectual property includs patent implied licensesystem, copyright implied license system and trademark rights implied license system,the identification of implied license is most core and complex problem.Theidentification of implied license can be inferred from the behavior-based impliedlicense of intellectual property and silence-based implied license of intellectualproperty. The identification of behavior-based implied license of intellectual property can be inferred mainly on the specific behavior of the holder of rights (the licensor),the accused infringer’s reasonable reliance and other factors; The identification ofsilence-based implied license of intellectual property can be inferred mainly on"knowingly" of the holder of rights (the licensor), the accused infringer’s reasonablereliance, the period of delay in exercising rights of the holder of rights (the licensor)and other factors.The function of implied license of intellectual property is not only reflected in theoperation of the system itself, the functionality has been expanded in the staggereddevelopment of implied license and exhaustion of rights, applying implied license tosolve the issue of parallel importation practice. In addition, from exhaustion of rightsto the parallel importation, the functionality has been expanded from contractinterpretation to the policy options.In the association of implied license and exhaustionof rights, implied license is mainly played a role of contract interpretation. Applyingthe implied license to solve the problem of parallel imports can correct theinternational exhaustion principle, make the parallel import policy more flexible, makeit more in line with China’s national conditions, achieve our national interests better.Implied license of intellectual property originated in intellectual propertylicensing contract, but the system has the characteristics of exceeding the contractualrelationship, no longer limited to one-to-one licensing model, to adapt to therequirements the network copyright massive authorized. Although implied license ofintellectual property has the characteristics of exceeding the contractual relationship,itis still dependent on the position and principles of contract interpretation, we shouldexamine the behavior of rights holder(the licensor), reasonable reliance of the oppositeparty(the licensee), the principle of good faith, industry practice and other factors inthe identification of network copyright implied license.By compare the the networkcopyright implied license system and the statutory licensing system, we can discoverthe irreplaceable institutional value of implied license system. Statutory licensingsystem adds more stringent restrictions on copyright owners, lacks of flexibility,expanding the statutory licensing system may conflict with international conventionsin the field of network copyright. In contrast, the implied license system can adapt tothe requirements in the network environment to balance the interests in it, and canreduce the impact on the existing system, its applicable value is increasing gradually.The copyright fair use system which plays an important role in the field of traditional copyright is encountering difficulties in the network environment, difficult to play aninfringement defense mission in many cases.The implied license system has significantinstitutional advantages compared to the fair use system in responsing to therequirements of the network environment, can effectively make rational use of theinadequacies of the fair use system. The implied license system and fair use system canform a pattern of division of labor, to balance the interests in the field of networkcopyright better. Among the internet industry developing rapidly,the implied licensesystem has been used as industry-specific practice accepted generally. We shouldintroduce a comprehensive system of implied license in the field of network sharingspace and network search engine, implied license system should be introduced in thenonprofit field of digital libraries. We should fully protect copyright holder’s right toachieve equal pay,and protect the operation of the implied license system through theimprovement of the system of collective management of copyright in designingnetwork copyright implied license system.In constructing and perfecting the system of intellectual property impliedlicense,we should take national interests and national security as the starting point andconform to the trend of internationalization of intellectual property, in line with thedirection of the development of culture, science and technology, emphasis onspontaneous order and practices of the industry and trade, fully draw on the theinternational mature experiences and practices, establish the intellectual propertyimplied license system in line with China’s national conditions. We should stipulateimplied intention terms and trust protection clause in China’s future Civil CodeGeneral Provisions. We should make a general provision of patent implied licensesystem in "Patent Law",and make the system clearly.We should make a generalprovision in "Copyright Law" for copyright implied license system and specifynetwork copyright implied license system; We should make general provisions of thetrademark implied license system in the "Trademark Law".更多还原