导　　师： 徐瑄

学科专业： 120204

授予学位： 博士

作　　者： ;

机构地区： 暨南大学

摘　　要： 专利侵权的等同判定原则简称专利等同原则，是专利司法审判过程中法院判定是否构成等同侵权的一整套司法原则。专利等同原则的规范要素包括方式-功能-效果三要素测试法、“全要件”说，以及专利审查过程禁止反悔、现有技术抗辩、公开披露贡献、反向等同等限制规则。本文将专利等同原则视为司法权对技术创新市场中专利的“二次确权”，等同范围的严宽影响模仿创新的程度和规模，影响技术进步的节奏和技术成果的质量，还影响技术创新市场结构。 基于专利等同原则是技术创新轨道中产权规则的认识，本文在制度经济学的规则范畴中研究其与技术进步的互动性，提出的研究假设是，在可调节的等同范围中，技术进步水平与专利等同范围正相关，两者互相适应、互相推动。理论上，通过技术进步水平与专利宽度的互动性、技术创新市场中技术进步水平与等同范围的互动性，以及一国总体技术水平与等同边界的互动性三个层面进行分析。实证上，研究美国、德国和日本三国的专利司法案例，验证等同原则与技术进步的互动性。 中国专利等同原则大量移植了美国法的规范要素。基于同属追赶型的现代化发展道路，本文主张中国借鉴日本在经济技术发展同质时期的做法来适用等同原则。现阶段知识产权政策应以促进模仿创新、繁荣科技市场为重点，不宜过宽界定专利等同范围；随着中国实现技术跨越和经济结构升级，专利等同范围应适时扩展，知识产权政策向以较高的保护水平保护自主创新这个重心转移。由于中国区域间的不均质性，区域竞争中出现的打破均衡的“亲专利”司法政策，只要尚处于制度与技术互动性的阈值内，有利于促进区域间资源和制度互补。 The Doctrine of Equivalents in patent infringement /(“Equivalents Doctrine”/) is a set of judicial principlesaccording to which courts identify whether specific patent infringements are equivalents-based infringements. Thespecification elements of Equivalents Doctrine includes three factor testing method of way-function-effect, theprinciple of all conditions, and some other limiting rules like the estoppels in the process of patent examination,prior art defense, public disclosure of contributions, reversal, etc. In this dissertation, the author deems theEquivalents Doctrine as “secondary affirmation of patent” by the judicial authorities for patents right on thetechnology innovation market. The strictness and width of the equivalents scope will influence the degree andscale of imitative innovation, and the pace of technological advancement, the quality of technological results, andthe structure of technological innovation market. Based on the understanding that Equivalents Doctrine is the property rule in the orbit of technologicalinnovation, in this dissertation, the author analyzes the interactivity between Equivalents Doctrine andtechnological innovation in the category of institutional economics. Further, the author gives the hypothesis that inthe adjustable equivalents scope, the technological advancement level and the equivalents scope are quite relevant.They are mutually adaptable and promotional. In theory, the author analyzes this from three perspectives, i.e. theinteractivity between the technological advancement level and the patent width, the interactivity betweentechnological advancement level and the equivalents scope in the technological innovation market, and theinteractivity between the country’s overall technical level and equivalents margin. From the empirical perspective,the author analyzes the patent judicial cases in the US, German, and Japan with the intention to verify theinteractivity between the Equivalents Doctrine and the technological advancement. The Chinese Equivalen

关 键 词： 专利制度 产权效率 等同原则 技术进步

领　　域： [文化科学] [政治法律] [政治法律]